Investment Executive AM newsletter

Thursday August 06, 2020
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From the Regulators
PEAK settles with MFDA
Fund dealer admits to not fully investigating suspected rep misconduct
August 5, 2020

Letters to the Editor
Letter: What’s the rush to merge IIROC and MFDA?
SRO reform should serve the public interest and investors’ needs, writes John Carson of FAIR Canada
August 5, 2020

Industry News
CI acquires majority stake in Aligned Capital
Firm has $10 billion in assets, over 200 advisors
August 5, 2020

From the Regulators
Everyone lies online — just not in virtual hearings, please
OSC publishes guide for online proceedings
August 5, 2020

From the Regulators
IIROC gets clean sheet in CSA review
No issues found in targeted review of SRO's enforcement function
August 5, 2020

Industry News
Workers in finance and insurance continue to struggle with mental health
Morneau Shepell's mental health index score for July remains low
August 5, 2020

Research and Markets
Insolvencies remain low in June
August 5, 2020

Products
Horizons launches emerging markets ETF
August 5, 2020

From the Regulators
SEC proposes fund reporting overhaul
August 5, 2020

Appointment Notices
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