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Regulatory fragmentation, illiquidity and a potential sudden shock to the financial system are big risks for markets in the coming year, according to Ian Russell

  • By: Leah Golob
  • January 11, 2018 January 11, 2018
  • 16:30

More than 85% of traders surveyed expect a rise in passive investing could provoke change in global markets, but only 40% see this development as positive for their companies

IIROC reaches settlement with three former All Group reps

A B.C. court has ruled that complex allegations involving unsuitable investments should be heard by a judge alone

The firm’s vice chairman of investment banking is leaving to establish a principal business in the mining sector

  • By: Leah Golob
  • November 21, 2017 November 21, 2017
  • 13:50

The brokerage will use the proceeds of the new bank credit facility to refinance its existing long-term debt

The independents are challenged by weakness in the resource sector

The growing costs and efforts associated with compliance are taking a toll on smaller dealers and independent advisors, the associations states in a submission to Finance Canada

Brian Connell-Tombs taps into more than 20 years of experience with Canada’s regulatory agencies and industry oversight groups

  • By: IE Staff
  • September 28, 2017 September 28, 2017
  • 15:20

The model disclosure is designed to help investors better understand and compare brokers’ account and service fees

The investment industry's bottom line is undeniably strong, thanks to the retail business