Scotia Capital Inc. – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 04 Apr 2024 21:51:53 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Scotia Capital Inc. – Investment Executive https://www.investmentexecutive.com 32 32 Canadian capital markets activity rises in Q1 https://www.investmentexecutive.com/news/research-and-markets/canadian-capital-markets-activity-rises-in-q1/ Thu, 04 Apr 2024 21:51:53 +0000 https://www.investmentexecutive.com/?p=483214 RBC Capital Markets leads both debt, equity league tables

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]]> Proposed trailer fee class action denied again https://www.investmentexecutive.com/news/from-the-regulators/proposed-trailer-fee-class-action-denied-again/ Fri, 26 Jan 2024 19:33:22 +0000 https://www.investmentexecutive.com/?p=479355 Firms were allowed to collect trailers before the CSA ban, court rules

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]]> Canada’s new issue activity ramped up https://www.investmentexecutive.com/news/research-and-markets/canadas-new-issue-activity-ramped-up/ Fri, 05 Jan 2024 15:42:09 +0000 https://www.investmentexecutive.com/?p=478112 Equity issuance surged 37% in 2023; debt up 19% from previous year

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]]> Equity issuance surges in Q3: Refinitiv https://www.investmentexecutive.com/news/research-and-markets/equity-issuance-surges-in-q3-refinitiv/ Thu, 05 Oct 2023 20:55:29 +0000 https://www.investmentexecutive.com/?p=472717 BMO tops equity league tables, RBC leads debt rankings

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]]> Advisor fined $70K for thousands of pre-signed forms https://www.investmentexecutive.com/news/from-the-regulators/advisor-fined-70k-for-thousands-of-pre-signed-forms/ Wed, 26 Jul 2023 18:37:27 +0000 https://www.investmentexecutive.com/?p=469269 Former Scotia Capital rep sanctioned in settlement with CIRO

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]]> Canadian equity deals slump in first half: Refinitiv https://www.investmentexecutive.com/news/research-and-markets/canadian-equity-deals-slump-in-first-half-refinitiv/ Thu, 06 Jul 2023 18:54:33 +0000 https://www.investmentexecutive.com/?p=468464 Issuance weakest since 1995 as IPOs, structured products and preferred issues were all scarce

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]]> CFTC, SEC sanction Scotia for texting violations https://www.investmentexecutive.com/news/from-the-regulators/cftc-sec-sanction-scotia-for-texting-violations/ Thu, 11 May 2023 15:23:05 +0000 https://www.investmentexecutive.com/?p=465393 Senior employees used WhatsApp for business communications, regulators find

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]]> Investor at fault over share sale flub, court finds https://www.investmentexecutive.com/news/from-the-regulators/investor-at-fault-over-share-sale-flub-court-finds/ Mon, 17 Apr 2023 19:33:37 +0000 https://www.investmentexecutive.com/?p=463992 DIY investor sold 10 times more shares than he owned after a share consolidation

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]]> A woeful quarter for Canadian new issue activity https://www.investmentexecutive.com/news/research-and-markets/a-woeful-quarter-for-canadian-new-issue-activity/ Tue, 11 Apr 2023 14:18:12 +0000 https://www.investmentexecutive.com/?p=463643 Equity issuance at lowest level since financial crisis; debt slumps too

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]]> Discount brokers can’t be sued over pre-ban trailers, court rules https://www.investmentexecutive.com/news/from-the-regulators/discount-brokers-cant-be-sued-over-pre-ban-trailers-court-rules/ Mon, 23 Jan 2023 23:11:44 +0000 https://www.investmentexecutive.com/?p=459113 Ontario court rules that discount brokers' receipt of trailing commissions was not considered illegal before the June 2022 ban

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