Industry News

BMO firms charged undisclosed currency fees for 10 years, court rules

BMO firms charged undisclosed currency fees for 10 years, court rules

Investors are entitled to the profits earned on the $102.9 million in undisclosed fees

By James Langton |March 2, 2020

2 min read

As market volatility increases, so can fraud

As market volatility increases, so can fraud

Investors may be particularly vulnerable to scams right now, FINRA says

By James Langton |February 28, 2020

1 min read

Firms sanctioned for reps selling funds they didn’t understand

Firms sanctioned for reps selling funds they didn’t understand

Two Wells Fargo firms are paying the SEC US$35 million

By James Langton |February 28, 2020

1 min read

Tipster rewarded with US$7M

Tipster rewarded with US$7M

The individual provided “extensive and sustained assistance” to the SEC

By James Langton |February 28, 2020

1 min read

Laurentian Bank misses expectations on Q1 profits

Laurentian Bank misses expectations on Q1 profits

Chief executive Francois Desjardins says the bank will address its revenues and expenses

By The Canadian Press |February 28, 2020

1 min read

Richardson GMP rebrands as Richardson Wealth following deal

Richardson GMP rebrands as Richardson Wealth following deal

The firm has shored up more advisor support for the transaction announced earlier this week

By Mark Burgess |February 28, 2020

2 min read

Trailer fee class action against TD to proceed

Trailer fee class action against TD to proceed

An Ontario court said the plaintiff has a viable claim for breach of trust and fiduciary duty

By James Langton |February 28, 2020

2 min read

TD falls short of expectations, but raises dividend

TD falls short of expectations, but raises dividend

Each of the bank’s five main rivals beat analyst expectations in Q1

By The Canadian Press |February 27, 2020

2 min read

Drabinsky transferred house title to dodge creditors, court finds

Drabinsky transferred house title to dodge creditors, court finds

The theatre producer failed to pay a lawyer who represented him in an OSC proceeding

By James Langton |February 27, 2020

2 min read

Cybercriminals beware: you’re in the crosshairs

Cybercriminals beware: you’re in the crosshairs

A new European financial cybercrime initiative hopes to set an example for other jurisdictions

By James Langton |February 27, 2020

1 min read

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