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
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
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
Revenue from retail, fee-based accounts is particularly strong
The industry is facing intensifying competition, longer-term performance pressures and regulatory developments