Industry

Ex-rep sanctioned after ignoring red flags

Settlement follows violations including overlooking suspicious trading activity

By James Langton |October 28, 2022

1 min read

Industry

Credit Suisse overhaul a risky play: Fitch

Strategic revamp delays profitability, carries execution risk

By James Langton |October 28, 2022

2 min read

Industry

Shiraz Ahmed named 2022 IIAC Top Under 40 award winner

Award celebrates talented young professionals in the investment industry

By Staff |October 28, 2022

1 min read

Industry

FCAC sanctions CIBC for loan disclosure failings

Certain fees were not disclosed to borrowers for almost 20 years, regulator alleged

By James Langton |October 28, 2022

2 min read

Industry

IIROC enforcement fund approved for SRO integration costs

SRO gets green light to help finance initial merger costs

By James Langton |October 27, 2022

2 min read

Industry

More women on boards, but not in top role

More directors are female, but few lead boards — and fewer still are CEOs

By James Langton |October 27, 2022

2 min read

Industry

Court asks for evidence of closet indexing

Plaintiffs in proposed class action must show that active funds tracked index

By James Langton |October 27, 2022

2 min read

Industry

Small business confidence plummets amid high debt, climbing interest rates

Many businesses struggling to repay debt accumulated during Covid-19, CFIB says

By Brett Bundale, The Canadian Press |October 27, 2022

2 min read

Industry

Banks’ crypto ambitions hampered by lack of rules

Comprehensive federal framework needed to provide comfort on crypto, Fitch says

By James Langton |October 27, 2022

2 min read

Industry

SEC adopts exec comp clawbacks

New rules require exchanges to adopt listing standards that set provisions for clawing back pay earned through misconduct

By James Langton |October 26, 2022

1 min read

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