Wealthsimple, Trulioo, FinanceIt, Wave Accounting and Street Contxt were among the 250 top firms, according to new research
New Greenwich Associates report finds that RBC Capital Markets continues to be the industry leader in market share
Shortcomings in client statements, followed by KYC, conflicts of interest and advertising were the top compliance issues for dealers
Although the province already has such a standard on financial planners, it’s now expanding the rule to include broker-dealers, sales reps and advisors
The regulator’s proposed reforms aim to enhance competition in the market and to better protect investors
Most DB pension plans remain in strong financial shape thanks to foreign equities markets and despite another decline in long-term interest rates
The alleged fraud allowed the firm to artificially reduce its operating costs, improving its extraction efficiency metrics and profitability
The exercise would help regulators understand how a market crash would affect multiple CCPs, financial market infrastructure and the economy
The initiative, to be known as World Investor Week, will feature regulators around the world launching investor-focused campaigns in October
At some banks, advisors resemble their brokerage or dealer counterparts; at others, they appear to be positioned much closer to traditional frontline retail bankers