Investment dealers | Investment Executive https://www.investmentexecutive.com/tag/investment-dealers/ Canada's news source for financial professionals Tue, 07 Apr 2026 21:07:37 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Investment dealers | Investment Executive https://www.investmentexecutive.com/tag/investment-dealers/ 32 32 Broker not on the hook for misplaced inheritance https://www.investmentexecutive.com/news/broker-not-on-the-hook-for-misplaced-inheritance/ Tue, 07 Apr 2026 21:07:37 +0000 https://www.investmentexecutive.com/?p=535682 Clients' belief may be genuine, but there's no proof the dealer did it: court

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]]> Global investment banking fees up in Q1: LSEG https://www.investmentexecutive.com/news/global-investment-banking-fees-up-in-q1-lseg/ Tue, 07 Apr 2026 19:09:30 +0000 https://www.investmentexecutive.com/?p=535671 Debt, equity underwriting fees rise, M&A advisory fees up too

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]]> Canadian debt drives Q1 new issue activity https://www.investmentexecutive.com/news/canadian-debt-drives-q1-new-issue-activity/ Tue, 07 Apr 2026 18:54:11 +0000 https://www.investmentexecutive.com/?p=535676 RBC leads debt underwriter ranking, BMO takes top spot in equities

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]]> CIRO proposes short-selling reforms https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-short-selling-reforms/ Thu, 02 Apr 2026 20:53:04 +0000 https://www.investmentexecutive.com/?p=535513 SRO drops mandatory close-out proposal, adds new conduct-based approach

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]]> Global capital markets activity rises in Q1: LSEG https://www.investmentexecutive.com/news/research-and-markets/global-capital-markets-activity-rises-in-q1-lseg/ Wed, 01 Apr 2026 19:00:29 +0000 https://www.investmentexecutive.com/?p=535372 Equity, debt underwritings rise, RBC leads Canadian firms in league tables

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]]> Short-selling dealers stay secret https://www.investmentexecutive.com/news/short-selling-dealers-stay-secret/ Fri, 27 Mar 2026 20:20:08 +0000 https://www.investmentexecutive.com/?p=534995 IPC upholds OSC decision to preserve privacy of dealers in failed trade study

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]]> Financial stability under threat from Iran conflict https://www.investmentexecutive.com/news/financial-stability-under-threat-from-iran-conflict/ Fri, 27 Mar 2026 19:05:45 +0000 https://www.investmentexecutive.com/?p=535048 Economic fallout from conflict raises risk to financial markets

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]]> Big banks take heat at Senate hearing https://www.investmentexecutive.com/news/big-banks-take-heat-at-senate-hearing/ Fri, 27 Mar 2026 13:36:23 +0000 https://www.investmentexecutive.com/?p=534973 Regulators lament shrinking shelves, eroding support for junior issuers

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]]> Retail advice most at risk to AI threat: Fitch https://www.investmentexecutive.com/news/retail-advice-most-at-risk-to-ai-threat-fitch/ Mon, 23 Mar 2026 19:47:01 +0000 https://www.investmentexecutive.com/?p=534552 Business model in peril, if investors start to trust AI agents

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]]> Brokers to get US$100-million rebate: FINRA https://www.investmentexecutive.com/news/brokers-to-get-us100-million-rebate-finra/ Thu, 19 Mar 2026 14:29:59 +0000 https://www.investmentexecutive.com/?p=534221 SRO collected excess fees due to strong markets, trading revenue

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