Industry News

RBC names Maria Douvas chief legal and administrative officer

She will oversee enterprise strategy, procurement, corporate real estate, climate and the chief data office

By The Canadian Press |March 20, 2024

1 min read

Regulation

B.C. court certifies vacation pay class action

Lawsuits seeks damages for certain BMO advisors

By James Langton |March 20, 2024

2 min read

Regulation

Ban, fine of $300K follow repeat episode of unapproved OBA

Rep called out after strike two

By James Langton |March 19, 2024

2 min read

Regulation

Rep fell for fraud scheme, sanctioned by SRO

Panel orders penalties for disgorgment and deterrence

By James Langton |March 19, 2024

3 min read

Regulation

FINRA settles first finfluencer case

SRO alleges a firm failed to approve finfluencers' posts

By James Langton |March 19, 2024

2 min read

Regulation

China fines Evergrande and bans chairman for life

Regulators are striving to reassure investors after Chinese markets slumped in the past year

By Elaine Kurtenbach |March 19, 2024

3 min read

Industry

Industry moves this week

A variety of changes occurred across several industry areas

By Katie Keir |March 18, 2024

2 min read

Industry

Raymond James foresees hitting $100B in a few years

The firm also hopes to reach 25% women advisors by 2025

By Melissa Shin |March 18, 2024

3 min read

Industry

How much Big Six wealth management execs made in 2023

Total compensation ranged from $6.30 million to $7.56 million

By Jonathan Got |March 15, 2024

2 min read

Industry

Financial services execs investing in generative AI: report

Many professionals were also concerned about cybersecurity threats

By Jonathan Got |March 14, 2024

1 min read

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