Dealers should maintain an updated list of advisors who work from home, which a department of the SRO could use as it plans compliance exams
The newly renamed firm follows the completion of the business’s acquisition from Dundee Corp. by an employee-owned partnership
The measures will mean cost savings for dealers and relief for investors in the province
The small investment dealer, which is selling most of its business to Hampton Securities, must cease dealing with the public as of Jan. 23
Leede Jones Gable expects to continue to add to its footprint, either through more amalgamations or organically
The former founder of Wellington West and Todd Degelman will be opening the firm later this year and maintain a partnership with their previous dealer
Cutting operating costs and adapting technology to compete effectively and compensate for lack of scale are also key traits of successful firms, says Ian Russell in a speech
The defunct investment dealer has been expelled from IIROC membership
Purchase advances firm’s U.S. growth strategy
The ongoing turmoil in the resources sector is having an “outsized impact on the independent investment banks,” a new report suggests