IIROC proposals to shorten CE cycles among industry concerns
The average insurance advisor is notably older and has a much larger investment component in his or her book of business
WisdomTree Canada acquires Questrade’s ETF lineup and becomes “premier provider” of ETFs on Questrade’s self-directed platform
While most countries have generally adopted client-asset protection regimes, progress varies
New notice cites importance of establishing special committees of independent directors to protect the interests of minority shareholders
Deutsche Bank, Citigroup, J.P. Morgan and Interactive Brokers have been cited for violating market access rules
The corporate insider, who tipped off U.S. securities regulators to the alleged fraud, is the second whistleblower the SEC has awarded this week
The rule amendments address risks that may arise when firms not regulated by IIROC or the MFDA are involved in the custody of client assets
A new report from the Vancouver-based shareholder advocacy organization finds that the financial services sector is doing better than many others
The new unit aims to consolidate the self-regulatory organization’s existing separate enforcement teams