Industry News

Industry

Penalties for pre-signed forms hit advisors’ pocketbooks hard

Revisiting the perennial and costly MFDA infraction

By Michelle Schriver |June 20, 2022

7 min read

Industry

Senate confirms new SEC commissioners

Jaime Lizárraga and Mark Toshiro Uyeda to replace Lee and Roisman

By James Langton |June 17, 2022

2 min read

Industry

Pandemic markets revive U.S. stock listings

Fed finds surge in SPACs and traditional IPOs drove 28% increase in listings

By James Langton |June 17, 2022

1 min read

Industry

Securing credit in a rising-rate environment

You and your clients may need to get creative in brainstorming strategies for borrowing

By Daniel Calabretta |June 17, 2022

3 min read

Industry

FINTRAC, RCMP faltering in money laundering fight

B.C. inquiry brands federal anti–money laundering regime a failure

By James Langton |June 16, 2022

3 min read

Industry

Brokers violated “best interest” rules, SEC alleges

Firm, reps charged for selling risky illiquid bonds to retail investors, retirees

By James Langton |June 16, 2022

1 min read

Industry

Regulators’ ESG focus to hit money market funds

Efforts to curb greenwashing, boost transparency could lead to outflows, Fitch says

By James Langton |June 16, 2022

1 min read

Industry

Crypto manipulation: A feature or a bug?

Blockchains inherently enable front running and other activity that's offside in traditional financial markets

By James Langton |June 16, 2022

2 min read

Industry

Wealthsimple lays off 13% of workforce

The company will now focus more heavily on core businesses, like investing and banking

By Tara Deschamps, The Canadian Press |June 15, 2022

2 min read

Industry

Children may be the future, but older workers are needed now

Increase labour force participation among those 50 and older: Scotia

By James Langton |June 15, 2022

2 min read

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