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Keyword: Investment dealers

229 results found
skyline of downtown montreal

Firm aims to broaden offering with estate, trust and power of attorney services

  • By: IE Staff
  • May 6, 2019 July 22, 2019
  • 11:27
businessman hand working computer and business strategy concept

Dealers large and small see healthy growth in profits


  • By: IE Staff
  • May 3, 2019 July 12, 2019
  • 00:01
businessman working with laptop and cell phone

SRO satisfied firm will put in place appropriate disclosure, policies, procedures and controls

businessman holds crystal ball with rising red graph and broken white graph

A weaker outlook for 2019 will likely lead more firms to leave the business

Overhead view of young business men shaking hands

Each party has different roles and responsibilities, and different regulatory obligations, to the client

gavel with $100-bill background

More than 6,000 clients in fee-based accounts were charged a higher fee than they should have been

Stock market background design

Request follows recent a SEC decision which found that exchanges did not provide sufficient justification for their marketplace fees

Customer Relationship Management handshake provider and customer flat illustration

Veteran advisor Les Sherman makes the switch

Typical yellow taxi in Manhattan street, New York city.

Investment dealer will sharpen focus on Canadian operations where growth opportunities are greater

  • By: IE Staff
  • December 12, 2018 July 22, 2019
  • 10:15