Investment Executive AM newsletter

Tuesday December 24, 2019
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Industry News
Slideshow: IE Yearend Quiz
Have you paid attention to what’s been happening in the industry this year? You’re about to find out
December 23, 2019

From the Regulators
B.C. court dismisses suit against IIROC
The court found a suit involving a 2009 disciplinary action came too late
December 23, 2019

Research and Markets
ETF sales almost double mutual fund sales in November
Sales were strong for both equity and bond funds
December 23, 2019

From the Regulators
NASAA warns about investor threats for 2020
Familiar investment schemes are joined by new scams on regulators' watchlist
December 23, 2019

Research and Markets
ESG factors important to Canadian issuers, survey finds
Three-quarters of issuers currently disclose ESG information to the public
December 23, 2019

Industry News
U.S. broker sanctioned for failing to guard against market manipulation
FINRA, U.S. exchanges found Credit Suisse failed to oversee direct access clients
December 23, 2019

Industry News
CI Financial acquires majority stake in RIA firm
December 23, 2019

From the Regulators
Binary options fraudster gets 22 years
December 20, 2019

From the Regulators
Nova Scotia regulator warns about 'unlocking' scams
December 23, 2019

Appointment Notices
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