Industry News

IIROC moving ahead with new procedures for ‘minor violations’

IIROC moving ahead with new procedures for ‘minor violations’

The program would deal with cases that don't warrant a formal disciplinary proceeding

By James Langton |April 25, 2019

3 min read

RBC enters the green bond market

RBC enters the green bond market

Proceeds will fund renewable energy and green building projects

By Staff |April 24, 2019

1 min read

TD introduces alternatives for HNW clients

TD introduces alternatives for HNW clients

The two funds are designed to provide income while preserving capital

By Staff |April 24, 2019

1 min read

Decorative pattern

UBS and Deutsche Bank discuss merger of asset management divisions: report

Talks have been ongoing for months, the Financial Times reports

By Staff |April 24, 2019

1 min read

Cross-selling a ‘growing concern’ for securities regulators

Cross-selling a ‘growing concern’ for securities regulators

The NASAA warns the tactic can be used to take advantage of clients

April 24, 2019

1 min read

Small deals dominated global VC market in Q1

Small deals dominated global VC market in Q1

Deals worth less than US$10 million accounted for more than 75% of VC activity

By Staff |April 24, 2019

1 min read

OSFI rejigs executive lineup

OSFI rejigs executive lineup

Ben Gully will succeed Carolyn Rogers as assistant superintendent, regulation sector

By Staff |April 23, 2019

1 min read

Former rep agrees to $100K fine, suspension for suitability failures

Former rep agrees to $100K fine, suspension for suitability failures

The former broker admitted to recommending unsuitable high-risk investments to multiple clients

By Staff |April 23, 2019

1 min read

MD makes changes to Canadian bond pools

MD makes changes to Canadian bond pools

The firm is renaming two products and changing the investment objectives

By Staff |April 23, 2019

1 min read

Proposed class action alleges RBC Insurance, Aviva shortchanged commissioned employees

Proposed class action alleges RBC Insurance, Aviva shortchanged commissioned employees

Allegations involve improper calculations of vacation and public holiday pay

By Staff |April 23, 2019

1 min read

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