Investment Executive AM newsletter

Thursday January 16, 2020
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From the Regulators
Advisor fined $60K for due diligence failures
IIROC says the advisor failed to learn “essential facts” about a client
January 15, 2020

Research and Markets
Sustainable investing spells trouble for the coal sector: Moody's
A growing demand for sustainability is starting to impact the coal industry's access to capital
January 15, 2020

Research and Markets
Dividends seen surging in 2020
A report forecasts the U.S. will lead the way in growing shareholder payouts
January 15, 2020

From the Regulators
MX sanctions Deutsche Bank for supervisory shortcomings
Firm gave employees trading access without approval
January 15, 2020

Research and Markets
Advisors key to helping clients invest responsibly: survey
Most respondents to an RBC survey said it was important for their advisor to be knowledgeable about RI
January 15, 2020

Products
Harvest launches new ETF
The ETF invests primarily in investment-grade U.S. corporate debt
January 15, 2020

Industry News
New platform designed to serve clients with smaller accounts
January 15, 2020

Partners’ Place

Appointment Notices
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