Investment Executive AM newsletter

Monday December 23, 2019
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Industry News
Advisors could face suspensions if CE credits aren’t reported on time
IIROC’s late-filing fee for CE credits takes effect Jan. 1
December 20, 2019

From the Regulators
OSC alleges ex-CEO sought contact high from pot sector
The regulator says a company issued false press releases touting plans to enter the cannabis business
December 20, 2019

From the Regulators
Tipster gets $1 million payout from CFTC
The whistleblower reported misconduct to another agency and was still rewarded
December 20, 2019

From the Regulators
IIROC preps for client-focused reforms in 2020
Investor protection and industry innovation highlight the SRO's compliance priorities
December 20, 2019

From the Regulators
IFIC disappointed with CSA's planned DSC ban
Industry trade group prefers harmonized national solution
December 19, 2019

From the Regulators
Securities recidivist gets jail time
The offences involved unregistered dealing and illegal distribution
December 20, 2019

Research and Markets
Fund managers have jumped into liquid alts, DBRS reports
December 18, 2019

Appointment Notices
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