Charles Kamal Dass had sought a stay of the case against him on the basis of an unreasonable delay in hearing the allegations against him
Assets under management for the mutual funds industry reached $1.31 trillion last month
One small-firm industry governor elected, two new governors appointed
Firms are choosing to invest in new technologies related to data analytics and automated asset allocation rather providing clients with mobile offerings
First SEC enforcement actions for auditor independence failures due to close personal relationships
New alert details a series red flags for investors
Recent incidents of cyber fraud are of significant concern for the central banking community
New deposit categories for RESPs and RDSPs are among the proposals
The Quebec regulator’s report also highlights its priorities for the coming year
CFA Institute survey finds that almost half of respondents do not believe that gender diversity is a significant issue in investment management