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Keyword: Investment dealers

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roped off area

New regulations will amplify investment dealers’ roles as product gatekeepers

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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

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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

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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