Enforcement investigations and prosecutions on the rise
Other key metrics also shifted: higher-value accounts now make up a growing proportion of the average book fee- and asset-based sources of revenue continue to rise and top performers are driving a shift toward the use of ETFs
Government plans to study universal “best interest” duty
The most vulnerable markets include Germany, Norway and Taiwan
Exchange company proposes several changes in response to customer demand
The transaction includes US$18 billion in Source-managed AUM, plus US$7 billion in externally managed AUM
Quebec regulator signs partnership with R3
The transition to a shorter settlement cycle is consistent with the U.S.
Review of compensation-related conflicts reveals that disclosure alone is not sufficient
The company has faced accelerated withdrawals by depositors since the announcement of various senior management changes, and allegations of disclosure violations from the OSC