Investment Executive AM newsletter

Friday December 22, 2023
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From the Regulators
CIRO drops harmonized sanctions guidance
SRO consolidates IIROC, MFDA approaches to enforcement penalties, policies
December 21, 2023

Products
Emerge liquidates ETFs without paying receivables
Emerge ARK funds are still owed $4.7 million by manager
December 21, 2023

From the Regulators
CIRO sanctions dealer's supervisory lapses
Calgary's Leede Jones Gable fined $150,000 for oversight failings
December 21, 2023

People
CI Financial's Darie Urbanky will depart at the end of next year
CIO Marc-André Lewis will become co-head of CI Global Asset Management as of Jan. 1
December 21, 2023

Research and Markets
Income growth cushions rising mortgage costs
While pockets will suffer from rising rates, overall stress should be modest
December 21, 2023

From the Regulators
Court certifies another trailer-fee class action
Case against 1832 Asset Management L.P. is the latest to secure certification
December 20, 2023

From the Regulators
AMF sanctions exchange registration breach
Refinitiv allowed investors to trade on its platform without registering as an exchange
December 20, 2023

Research and Markets
Mutual fund redemptions continue in November
December 21, 2023

From the Regulators
Potential class action against fund reps revived
December 21, 2023

Brand Knowledge

Beyond Bull and Bear: How one CIO uses Alternatives to build crisis-ready portfolios
By: WaveFront


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