Investment dealers – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 25 Apr 2024 21:18:35 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Investment dealers – Investment Executive https://www.investmentexecutive.com 32 32 CIRO proposes new fee model https://www.investmentexecutive.com/news/from-the-regulators/ciro-proposes-new-fee-model/ Thu, 25 Apr 2024 21:18:35 +0000 https://www.investmentexecutive.com/?p=484777 Fees to rise for most firms as minimums go up, certain dealers pay higher share

The post CIRO proposes new fee model appeared first on Investment Executive.

]]> CSA sets path to market data reforms https://www.investmentexecutive.com/news/from-the-regulators/csa-sets-path-to-market-data-reforms/ Thu, 18 Apr 2024 21:31:24 +0000 https://www.investmentexecutive.com/?p=484304 Regulators to boost fee transparency, explore enhanced retail access

The post CSA sets path to market data reforms appeared first on Investment Executive.

]]> New one-month T-bill launches in May https://www.investmentexecutive.com/news/research-and-markets/new-one-month-t-bill-launches-in-may/ Wed, 17 Apr 2024 20:53:56 +0000 https://www.investmentexecutive.com/?p=484191 New instrument aims to fill a void created as CDOR is retired

The post New one-month T-bill launches in May appeared first on Investment Executive.

]]> Retail investor issues get top billing on IOSCO agenda https://www.investmentexecutive.com/news/from-the-regulators/retail-investor-issues-get-top-billing-on-iosco-agenda/ Mon, 15 Apr 2024 18:00:33 +0000 https://www.investmentexecutive.com/?p=483759 Broker conflicts, finfluencers, gamification among regulators' priorities

The post Retail investor issues get top billing on IOSCO agenda appeared first on Investment Executive.

]]> FCA to revive research bundling https://www.investmentexecutive.com/news/from-the-regulators/fca-to-revive-research-bundling/ Wed, 10 Apr 2024 19:26:01 +0000 https://www.investmentexecutive.com/?p=483499 Regulator aims to ease asset managers' access to investment research

The post FCA to revive research bundling appeared first on Investment Executive.

]]> Momentum building for T+1 in Europe https://www.investmentexecutive.com/news/industry-news/momentum-building-for-t1-in-europe/ Tue, 09 Apr 2024 19:02:23 +0000 https://www.investmentexecutive.com/?p=483425 Industry trade groups line up behind U.K.'s call for move by 2027

The post Momentum building for T+1 in Europe appeared first on Investment Executive.

]]> Rep incorporation proposals prove to be sticky wicket https://www.investmentexecutive.com/news/from-the-regulators/rep-incorporation-proposals-prove-to-be-sticky-wicket/ Mon, 08 Apr 2024 21:26:46 +0000 https://www.investmentexecutive.com/?p=483358 Industry divided on, investor advocates opposed to, reforms

The post Rep incorporation proposals prove to be sticky wicket appeared first on Investment Executive.

]]> BMO Nesbitt sanctioned for supervisory shortcomings https://www.investmentexecutive.com/news/from-the-regulators/bmo-nesbitt-sanctioned-for-supervisory-shortcomings/ Fri, 05 Apr 2024 20:57:46 +0000 https://www.investmentexecutive.com/?p=483279 Firm failed to adequately oversee rep's risky trading strategy, CIRO says

The post BMO Nesbitt sanctioned for supervisory shortcomings appeared first on Investment Executive.

]]> Canadian capital markets activity rises in Q1 https://www.investmentexecutive.com/news/research-and-markets/canadian-capital-markets-activity-rises-in-q1/ Thu, 04 Apr 2024 21:51:53 +0000 https://www.investmentexecutive.com/?p=483214 RBC Capital Markets leads both debt, equity league tables

The post Canadian capital markets activity rises in Q1 appeared first on Investment Executive.

]]> Laurentian sells retail brokerage to iA Financial https://www.investmentexecutive.com/news/industry-news/laurentian-sells-retail-brokerage-to-ia-financial/ Thu, 04 Apr 2024 21:26:58 +0000 https://www.investmentexecutive.com/?p=483161 Deal includes 16,000 accounts, $2 billion in assets, 30 advisors

The post Laurentian sells retail brokerage to iA Financial appeared first on Investment Executive.

]]>