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Monday September 20, 2021
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Ellen Bessner
Regulatory settlement? Inform yourself!
Understand how a settlement can unexpectedly affect you
September 17, 2021

From the Regulators
Discretion proves better part of valour for advisor
Court finds no breach when advisor didn't "sell in May and go away"
September 17, 2021

Products
Advisors may bump up thematic ETF exposure in 2022: survey
An Evolve survey suggests advisors are positive on ETFs as a whole, with thematic funds topping the list
September 17, 2021

Research and Markets
Canadian investors pared back foreign holdings: StatsCan
Meanwhile, foreign investors continued adding Canadian securities in July
September 17, 2021

From the Regulators
PACE Securities CEO faces temporary ban after IIROC settlement
The settlement follows the firm's liquidation last year
September 16, 2021

From the Regulators
SEC settles with RBC unit over bond allocations
So-called bond flippers prioritized over retail, institutional clients, regulator alleged
September 17, 2021

From the Regulators
Madoff victims to see another payout
More than US$4 billion in total is expected to be returned to Madoff's investors
September 17, 2021

Industry News
Proposed sustainability board could be key for ESG reporting: Fitch
The proposed creation of the ISSB — potentially headquartered in Canada — could lead to a globally accepted ESG framework
September 17, 2021

From the Regulators
IIROC will host panel on inclusion for advisors
September 17, 2021

Research and Markets
Insurers, regulators must prepare for possible future pandemics
September 17, 2021

Partners’ Place

Appointment Notices
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