Investment Executive AM newsletter

Friday December 23, 2022
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From the Regulators
Will the new SRO shake up title protection in Ontario?
The new self-regulatory organization is considering its role in the evolving regime
December 22, 2022

From the Regulators
IIROC fines CIBC World Markets $119K for control failures
Fees charged to certain accounts didn't match fee agreements
December 22, 2022

From the Regulators
Scotia sanctioned for supervisory snafus after multiple reps fired
The firm will pay nearly $11 million in client compensation after reps boosted their own performance numbers
December 22, 2022

From the Regulators
FSRA orders Greatway Financial to deliver revised training
Greatway must also send its universal life policyholders information to assist them in assessing the policy's appropriateness
December 22, 2022

Research and Markets
Stocks and bonds both tumbled in "perfect storm" in 2022
Energy sector was the year's investment winner
December 22, 2022

Products
What's new from fund manufacturers
Purpose is first in Canada with single-stock ETFs, while CIBC launched new Canadian depositary receipts
December 22, 2022

People
Industry moves this week
December 22, 2022

Industry News
FTX founder Bankman-Fried makes first U.S. court appearance
December 22, 2022


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