Fitzpatrick replaces Terence Lui, who remains with LOGiQ as vice president and general counsel
The deal is expected to close later this year
Dispute over BIS may threaten creation of national regulator
The emergence of new competitors, such as robo-advisors, combined with the impact of increased regulation and shifts at both the client level and within the advisor population, have led to a drop in average AUM and productivity
Corporate executives in Canada said that “more could be done” to help explain how the risk is priced
Local laws could limit a firm’s ability to understand who their customers are
Regulators and industry will discuss how small- and mid-sized investment firms can protect critical client information
The regulator is looking for applications from senior industry personnel with product development experience
The Quebec regulator’s new strategic plan points out that factors such as fintech and intensifying competition in financial services will guide its work
Decision finds that IIROC did not err in its decision to fine and ban the former portfolio manager for five years