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Company: RBC Dominion Securities Inc.

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Court.

Court finds no breach when advisor didn't "sell in May and go away"

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

In a settlement agreement with IIROC, the firm acknowledged it failed to adequately monitor suspicious account transfers

  • By: IE Staff
  • July 27, 2021 July 27, 2021
  • 13:45
Court.

Ex-rep sentenced to jail and ordered to repay firm

gavel

An IIROC panel found the rep engaged in improper personal financial dealings with a client and misled investigators

gavel

An Ontario court has found that excluding one of CannTrust's underwriters from the case could limit investors' recovery

Closeup of mallet being hit on stacked coins at table in courtroom

The banks participated in a deal to help sell off Royal Dutch Shell plc's 8% stake in Canadian Natural Resources Ltd.

Team of diverse businesswomen

Video campaign seeks to dispel myths, focuses on flexibility and autonomy

  • By: IE Staff
  • December 6, 2018 October 17, 2019
  • 10:50
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Clients’ portfolio would have performed better if they’d followed their advisor’s advice

agreement, attorney, auction, authority, balance, barrister, beam, scale, book, bookcase, books, brass, brown, business, colourconcept, contract, counsel, court, courthouse, courtroom, crime, criminal, decision, defendant, divorce, enforcement, financefreedom, gavel, government, guilt, guilty, hammer, horizontal, innocence, judge, judgement, judgment, judicial, justice, lawlawyer, legal, legislation, liberty, libra, litigation, mallet, prosecution, punishment, rights, scale, scales, scales, of, justice, sentencesymbol, symbolic, system, tax, trial, tribunal, truth, verdict, weight, will, wood, wooden

Two RBCDS advisors violated agreement by calling clients when they moved from MD Management, court says

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These strategies provide access to a diversified range of global exposures that complement benchmark-centric or domestic portfolios

  • By: Leah Golob
  • March 6, 2018 October 17, 2019
  • 12:33