Industry

Ex-fund rep sanctioned for failing to cooperate

SRO sought to investigate after compliance review discovered pre-signed forms

By Staff |September 1, 2022

1 min read

Industry

Financial market risks are high and rising: ESMA

European regulators warn of further market corrections

By James Langton |September 1, 2022

2 min read

Industry

Federal governance reforms kick in

Changes to director election rules, proxy process, expected to enhance boards, shareholder democracy

By James Langton |August 31, 2022

1 min read

Industry

Arming investors to guard against greenwashing

IOSCO report reviews investor, advisor education efforts in sustainable finance

By James Langton |August 31, 2022

2 min read

Industry

The failed promise of crypto diversification

Crypto is as tied to growth conditions as traditional financial assets, TD says

By James Langton |August 31, 2022

2 min read

Industry

Metaverse is ripe for investment scams, regulators warn

North American regulators warned investors against advice and investments pitched in virtual worlds

By James Langton |August 31, 2022

2 min read

Industry

BMO wraps Big Six earnings with Q3 profits down from a year ago

The wealth management division saw a 15% income dip

By Ian Bickis, Canadian Press |August 30, 2022

3 min read

Industry

IIROC proficiency project moves on to traders, PMs

SRO aims to finalize competency standards by early 2024

By James Langton |August 29, 2022

1 min read

Industry

Remains of PACE to face liquidation

KPMG appointed to oversee failed credit union's windup

By James Langton |August 29, 2022

3 min read

Industry

RBC climate action mild enough to pass Texas fossil fuel test

RBC was one of 19 financial institutions that Texas flagged for further investigation

By Ian Bickis, Canadian Press |August 29, 2022

4 min read

← Previous 1 … 122 123 124 125 126 … 2,143 Next →