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Keyword: Investment dealers

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roped off area

New regulations will amplify investment dealers’ roles as product gatekeepers


Strong performance in 2020 bodes well for the year ahead, writes Ian Russell

Stock market background design

A goal for the final report is to spur more independent dealers

back to balance for dealer advisors

The rating agency's outlook for global securities firms is stable despite challenges


IIROC has set date for disciplinary hearing

gavel on a laptop

The SRO suspended the firm in 2015

Close of businesswoman making announcement in paper trumpet

Walied Soliman, chair of the Ontario Capital Markets Modernization Taskforce, offered a preview of the task force’s final report on Wednesday

papers on a desk

The death of independent dealers was greatly exaggerated


PACE Credit Union will propose a settlement for investors

Downtown Vancouver, BC with bridge over harbour

H.I.G. Capital and RCM Capital Management team up to acquire Vancouver brokerage