Investment Executive Weekly newsletter

Week of July 31, 2021
Your Weekly e-newsletter and alerts
Go to website

Industry News
RBC Dominion Securities fined $350K for supervisory failings
In a settlement agreement with IIROC, the firm acknowledged it failed to adequately monitor suspicious account transfers
July 27, 2021

From the Regulators
PwC denies report of potential Bridging Finance sale
The receiver plans to file materials next week seeking court approval for a sale process
July 23, 2021

From the Regulators
MFDA's new CE regime to launch in the fall
Fund dealers' first CE cycle to kick off on Dec. 1
July 23, 2021

From the Regulators
MFDA unmasks performance reporting issues
SRO review finds a variety of reasons for botched return calculations
July 26, 2021

Industry News
Investment fund charges should be included in fee summaries: report
A report for the MFDA uses behavioural insights to recommend expanded cost reporting
July 26, 2021

David Reeve
KYP and the power of the peer
Why segmenting product shelves into peer groups can help meet regulatory challenges
July 23, 2021

Paul Bourque
Designating beneficiaries electronically
July 28, 2021

Research and Markets
Risks lie in wait for investors
July 28, 2021

Appointment Notices
Brought to you by: Appointment Notices


This message was sent to @{Email Name}@ by Investment Executive Manage subscription \| Unsubscribe © 2026 Newcom Media Inc. All Rights Reserved. 5353 Dundas St. West, Suite 400 \| Toronto \| ON \| M9B 6H8 Support : service@newcom.ca \| 1-844-241-0116 Privacy Policy \| Terms and Conditions