Industry News

Industry

SPACs pose added risks to investors, ESMA warns

Shell company deals can be complex and risky

By James Langton |July 15, 2021

2 min read

Industry

Offshore firms pay $4M for unregistered trading of contracts for difference

An OSC hearing panel approved a settlement and said the sanctions represent a deterrent

By James Langton |July 15, 2021

2 min read

Industry

OSC warns firms about recent phishing attacks

Industry firms have been targeted with campaigns impersonating regulators

By James Langton |July 15, 2021

1 min read

Industry

New rules enable firms to use temporary holds, seek trusted contacts

The measures are intended to help protect older and vulnerable clients

By James Langton |July 15, 2021

2 min read

Industry

RBC completes issuance of second green bond

The bond will finance or refinance green assets tied to categories such as renewable energy

By Staff |July 15, 2021

1 min read

Industry

SLGI to ditch DSCs, trailing commissions paid to OEO dealers

The firm is also renaming certain mutual funds

By Staff |July 14, 2021

1 min read

Industry

FSRA to leave limits on life sector incentives

Amid concerns about consumer harm, the regulator has backed away from a plan to allow incentives

By James Langton |July 14, 2021

1 min read

Industry

Royal Bank of Canada names Indigenous leader Roberta Jamieson to its board

Jamieson, the first Indigenous woman to earn a law degree, is also a member of the Deloitte Canada board

By The Canadian Press |July 14, 2021

1 min read

Industry

Paying cash for enforcement tips is a success: OSC

The regulator's whistleblower program has generated hundreds of tips and paid out millions in rewards

By James Langton |July 14, 2021

2 min read

Industry

CFA Institute’s draft ESG standards could facilitate “greenwashing,” IFIC says

Naming standards and minimum requirements are needed for disclosure to help advisors, the fund group said

By Mark Burgess |July 14, 2021

2 min read

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