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Keyword: Investment dealers

319 results found
trader at desk

Rating agency sees modest profit improvement ahead for industry

Advisor tracking stocks

Securities sector leads gains for financials

magnifying glass

Firms are puzzling out how to balance significant overhead costs with advisor support

  • By: Katie Keir
  • November 21, 2023 November 21, 2023
  • 10:10
Modern office building close up in sunlight

High interest rates boost firms' profits, capital positions

crypto currency regulation

Added costs of registering crypto platforms drives new tariffs


Firm sanctioned over capital issues, internal controls and record-keeping

Quantum computer

SRO examines potential implications of a computing revolution

new label

Approval came nine months after the firm filed its initial application

  • By: Katie Keir
  • October 26, 2023 October 26, 2023
  • 12:56
penalty card

Collections plunge as hefty sanctions are handed out


New SRO aims to harmonize requirements for fund dealers and investment dealers