Investment Executive AM newsletter

Monday May 31, 2021
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Ellen Bessner
How to avoid becoming an enforcement statistic
Regulators measure their success based in part on how many enforcement matters they open and prosecute
May 28, 2021

David Reeve
Know your product: challenges and opportunities
Reducing product offerings for the sake of KYP is unlikely to serve the investor’s best interest
May 28, 2021

From the Regulators
When does poor service become a regulatory issue for online brokerages?
IIROC also is looking at retail complaints and disgorgement, among other SRO priorities
May 28, 2021

Research and Markets
Climate tide turns against oil companies: Moody's
Shareholder votes and a court ruling signal growing pressure to address emissions
May 28, 2021

Research and Markets
Income inequality narrowed amid fiscal supports in 2020: StatsCan
All households saw income rise in 2020, with lower-income groups gaining most
May 28, 2021

From the Regulators
SEC charges five in US$2-billion crypto trading scheme
Promoters allegedly used YouTube videos to pitch investors on Bitcoin trading vehicle, the regulator said
May 28, 2021

From the Regulators
FSRA to hold webinar on new title regime
May 28, 2021

Products
SEI Canada adds new classes to mutual fund lineup
May 28, 2021

Partners’ Place

Appointment Notices
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