Investment Executive PM newsletter

Friday December 17, 2021
Your Daily PM e-newsletter and alerts
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From the Regulators
As CFRs loom, IIROC offers guidance
The SRO provides clarity ahead of new year-end requirements, noting how products, fees and even ESG should be discussed
December 17, 2021

From the Regulators
Investors face huge losses in Bridging Finance case
Court filings indicate losses could top $580 million
December 16, 2021

From the Regulators
Outside business activities are now simply "outside activities"
The CSA made the change, among others, in its final amendments to registration reporting requirements
December 17, 2021

From the Regulators
Scotia Capital settles fee fumble case
SRO fine pales against firm's $32-million remediation plan
December 17, 2021

From the Regulators
Legal review coming for investigation orders
The question of onus deserves a hearing, B.C. court finds
December 17, 2021

Focus on Products
ETFs: Innovation and growth
A look at the growing market share of ETFs
December 13, 2021

Industry News
OSFI holds uninsured mortgage stress test rate steady
The regulator said it's essential that lenders test borrowers to ensure that they can pay their debts
December 17, 2021

From the Regulators
Collecting regulatory sanctions just got harder
Alberta appeal court finds ASC sanction doesn't survive bankruptcy
December 17, 2021

Research and Markets
Assets in ESG products growing rapidly: report
ESG-tagged ETFs and ETPs have expanded 84.3% compared with a year ago, a research firm says
December 17, 2021

Research and Markets
Shadow banks' role shrinks amid pandemic response
December 17, 2021

From the Regulators
FCA pioneers TCFD-aligned disclosure rules for asset managers
December 17, 2021


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