Industry News

SEC charges brokers over unregistered penny stock trades

SEC charges brokers over unregistered penny stock trades

Side business allegedly enabled billions of stock trades

By James Langton |November 18, 2022

1 min read

Industry moves this week

Industry moves this week

Changes include executive shifts at iA Financial Group related to wealth division

By Katie Keir |November 18, 2022

2 min read

Ontario Teachers’ Pension Plan writes down FTX investment to zero

Ontario Teachers’ Pension Plan writes down FTX investment to zero

Less than .05% of assets invested in FTX, aiming for emerging fintech exposure

By The Canadian Press |November 18, 2022

1 min read

Decorative pattern

Two potential upsides if you’re bought by a property and casualty brokerage

Potential productivity gains when P&C broker buys an advisory firm

By Philip Porado |November 17, 2022

1 min read

Fed official suggests substantial rate hikes may be needed

Fed official suggests substantial rate hikes may be needed

James Bullard is a voting member of the Federal Reserve's rate-setting committee

By Christopher Rugaber, The Associated Press |November 17, 2022

3 min read

IA Financial Group launches RIA

IA Financial Group launches RIA

Investment advisors registered with the new firm will be licensed in both Canada and the U.S.

By Staff |November 17, 2022

1 min read

No clarity for Bridging investors until the new year

No clarity for Bridging investors until the new year

Decision on investor priority motion likely to come in early January

By James Langton |November 17, 2022

3 min read

Corporations increasingly focus on social issues, but impacts lag

Corporations increasingly focus on social issues, but impacts lag

Some social risks are better managed than others, a new report finds

By Maddie Johnson |November 17, 2022

2 min read

Decorative pattern

Ramp-and-dump schemes on the rise, FINRA warns

SRO sees surge in scams involving foreign-issuer, small-cap IPOs

By James Langton |November 17, 2022

2 min read

Worthless rewards drive trading activity: OSC study

Worthless rewards drive trading activity: OSC study

Certain behavioural nudges influence investors, regulator finds

By James Langton |November 17, 2022

2 min read

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