Investment dealers | Investment Executive https://www.investmentexecutive.com/tag/investment-dealers/ Canada's news source for financial professionals Tue, 13 Jan 2026 22:17:04 +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 Global miners set for M&A bonanza: DBRS https://www.investmentexecutive.com/uncategorized/global-miners-set-for-ma-bonanza-dbrs/ Tue, 13 Jan 2026 22:17:04 +0000 https://www.investmentexecutive.com/?p=529326 Amid possible mega-merger, industry primed for consolidation

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]]> Wall Street seen reporting stronger earnings: Moody’s https://www.investmentexecutive.com/news/wall-street-seen-reporting-stronger-earnings-moodys/ Mon, 12 Jan 2026 18:47:36 +0000 https://www.investmentexecutive.com/?p=529163 Trading revenues, debt underwriting up, boosting Q4 results

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]]> FINRA seeks ‘speed bumps’ to guard against fraud https://www.investmentexecutive.com/news/finra-seeks-speed-bumps-to-guard-against-fraud/ Thu, 08 Jan 2026 21:28:44 +0000 https://www.investmentexecutive.com/?p=528908 SRO proposes added measures to protect investors from exploitation

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]]> Equities lead surge in capital markets activity https://www.investmentexecutive.com/news/equities-lead-surge-in-capital-markets-activity/ Thu, 08 Jan 2026 18:42:18 +0000 https://www.investmentexecutive.com/?p=528893 RBC Capital Markets tops underwriter rankings, leads on equity and debt

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]]> Court approves CIBC trailer fee settlement https://www.investmentexecutive.com/news/court-approves-cibc-trailer-fee-settlement/ Wed, 07 Jan 2026 19:10:02 +0000 https://www.investmentexecutive.com/?p=528849 Class action brought on behalf of full-service clients with funds that paid trailers

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]]> CIRO wants to tear down the barriers to online advice https://www.investmentexecutive.com/news/ciro-wants-to-tear-down-the-barriers-to-online-advice/ Wed, 17 Dec 2025 19:30:33 +0000 https://www.investmentexecutive.com/?p=527997 SRO launches review of policy framework for the provision of advice

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]]> Shadow banks outrunning banks’ growth: FSB https://www.investmentexecutive.com/news/shadow-banks-outrunning-banks-growth-fsb/ Tue, 16 Dec 2025 21:15:40 +0000 https://www.investmentexecutive.com/?p=527892 Regulators lack data on private credit, report notes

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]]> FCA consults on crypto rules https://www.investmentexecutive.com/news/fca-consults-on-crypto-rules-3/ Tue, 16 Dec 2025 21:07:42 +0000 https://www.investmentexecutive.com/?p=527876 U.K. regulator's proposals aim to support innovation while protecting consumers

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]]> Industry falling short on CFR compliance: CSA, CIRO https://www.investmentexecutive.com/news/from-the-regulators/industry-falling-short-on-cfr-compliance-csa-ciro/ Wed, 10 Dec 2025 17:50:45 +0000 https://www.investmentexecutive.com/?p=527418 Review documents failings in meeting KYC, KYP, suitability requirements

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]]> Speeding dispute resolution for older, ill investors https://www.investmentexecutive.com/news/from-the-regulators/speeding-dispute-resolution-for-older-ill-investors/ Tue, 09 Dec 2025 20:28:18 +0000 https://www.investmentexecutive.com/?p=527360 FINRA to accelerate arbitration process for vulnerable clients

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