Investment dealers | Investment Executive https://www.investmentexecutive.com/tag/investment-dealers/ Canada's news source for financial professionals Fri, 27 Feb 2026 21:50:47 +0000 en-US hourly 1 https://wordpress.org/?v=6.9.1 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 Latest OBSI review kicks off https://www.investmentexecutive.com/news/from-the-regulators/latest-obsi-review-kicks-off/ Mon, 02 Mar 2026 09:00:16 +0000 https://www.investmentexecutive.com/?p=532892 New evaluation comes amid regulators' ongoing reform work

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]]> ESMA consults on avoiding groupthink at financials https://www.investmentexecutive.com/news/esma-consults-on-avoiding-groupthink-at-financials/ Wed, 25 Feb 2026 20:36:23 +0000 https://www.investmentexecutive.com/?p=532589 Regulators review suitability guidance for industry management

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]]> Rep’s loan repayment appeal rejected https://www.investmentexecutive.com/news/reps-loan-repayment-appeal-rejected/ Mon, 23 Feb 2026 14:34:40 +0000 https://www.investmentexecutive.com/?p=532260 Court upholds summary judgment in dispute over dealer's loan to rep

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]]> TD Wealth merges two business lines serving HNW clients https://www.investmentexecutive.com/news/td-wealth-merges-two-business-lines-serving-hnw-clients/ Thu, 19 Feb 2026 20:55:55 +0000 https://www.investmentexecutive.com/?p=532111 Advisors will benefit from a consolidated operating model

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]]> Clients’ questions about CIRO data breach fall to advisors, dealers https://www.investmentexecutive.com/news/clients-questions-about-ciro-data-breach-fall-to-advisors-dealers/ Tue, 17 Feb 2026 18:31:19 +0000 https://www.investmentexecutive.com/?p=531656 “We can’t answer the questions that clients are asking,” dealer says

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]]> CIRO ready to end dual-dealer model https://www.investmentexecutive.com/news/ciro-ready-to-end-dual-dealer-model/ Thu, 12 Feb 2026 19:00:53 +0000 https://www.investmentexecutive.com/?p=531585 SRO proposes consolidated rulebook, alongside end to dual registration

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]]> FINRA to allow brokers to use return targets https://www.investmentexecutive.com/news/finra-to-allow-brokers-to-use-return-targets/ Wed, 11 Feb 2026 19:30:55 +0000 https://www.investmentexecutive.com/?p=531546 SRO crafts exception from ban on using performance projections

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]]> Investor class actions certified to allow settlement https://www.investmentexecutive.com/news/from-the-regulators/investor-class-actions-certified-to-allow-settlement/ Thu, 05 Feb 2026 09:00:14 +0000 https://www.investmentexecutive.com/?p=531083 Claims involve alleged misrepresentations by cannabis firm, underwriters

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]]> Amid strong earnings, U.S. brokers face consolidation https://www.investmentexecutive.com/news/amid-strong-earnings-u-s-brokers-face-consolidation/ Wed, 04 Feb 2026 17:10:15 +0000 https://www.investmentexecutive.com/?p=531041 Client assets hit record levels, boosting revenue, earnings growth: Fitch

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]]> Wall Street supremacy tough to overcome: DBRS https://www.investmentexecutive.com/news/wall-street-supremacy-tough-to-overcome-dbrs/ Wed, 28 Jan 2026 19:29:35 +0000 https://www.investmentexecutive.com/?p=530499 Rivals ramping up competition, but U.S. firms have inherent advantages

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