Industry News

Industry

Court rejects fine for trading ban breach

OSC sought fine but court ordered a suspended sentence

By James Langton |August 4, 2023

2 min read

Industry

Wealth management steady as Canaccord makes capital market cuts

The firm's latest earnings showed client assets growing in its wealth management division

By Mark Burgess |August 4, 2023

2 min read

Industry

More industry moves this week

Wellington-Altus changes take shape, plus other industry announcements

By Katie Keir |August 4, 2023

2 min read

Industry

New Alpha markets get go ahead

Pair of new trading books, order types to launch Oct. 23

August 3, 2023

1 min read

Regulation

New FCA regime good for clients, tough on firms

Margins, profits to be squeezed as consumer protections boosted

By James Langton |August 3, 2023

3 min read

Regulation

Most firms falling short in conflict compliance

Regulators say suitability assessments and disclosure aren't adequate for firms that deal only in proprietary products

By James Langton |August 3, 2023

3 min read

Regulation

Court pauses rival series of trailer-fee lawsuits

Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages

By James Langton |August 3, 2023

2 min read

Industry

Banking executive named president of Kansas City Fed

Jeffrey Schmid replaces Esther George, who retired in January

By Christopher Rugaber, The Associated Press |August 2, 2023

2 min read

Regulation

Adviser’s insider trading more extensive than SEC thought

Offshore stock trades came alongside previously-sanctioned options trades

By James Langton |August 2, 2023

1 min read

Industry

Regulators say advisor awards based on production may mislead clients

The CSA and CIRO will consider such awards a compliance issue

By James Langton |August 1, 2023

2 min read

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