James Langton

James is a senior reporter for Advisor.ca and its sister publication, Investment Executive. He has been reporting on regulation, securities law, industry news and more since 1994.

Regulation

Rep banned after misappropriating money from client

SRO panel found the rep opened banking products, including a line of credit, in the client's name

By James Langton |January 30, 2024

1 min read

Industry

Trailer fee class action gets green light

Fourth case certified involving funds paying trailers to discount brokers

By James Langton |January 30, 2024

1 min read

Regulation

Crypto tokens were securities, settlement says

Tribunal accepts settlement with crypto project founders, including more than $1.5 million in sanctions

By James Langton |January 30, 2024

1 min read

Regulation

SRO panel takes softer line on sanctions

The panel found a rep's misconduct to be serious, but not fraudulent or deceitful

By James Langton |January 30, 2024

1 min read

Industry

Investors blindly trust advisors, FAIR Canada finds

Study participants preferred to rely on the knowledge of professionals rather than learn about investing

By James Langton |January 30, 2024

1 min read

Regulation

Banks, insurers falling behind on climate risk

OSFI says financial firms need to pick up the pace on climate impacts

By James Langton |January 29, 2024

1 min read

Regulation

Rep fined, banned in CIRO settlement

Former rep admitted to misappropriation

By James Langton |January 29, 2024

1 min read

Regulation

Tribunal trims sanctions against former rep

After partly overturning SRO's ruling, tribunal reduces fine, disgorgement orders

By James Langton |January 26, 2024

1 min read

Regulation

Proposed trailer fee class action denied again

Firms were allowed to collect trailers before the CSA ban, court rules

By James Langton |January 26, 2024

1 min read

Regulation

Small firms need living wills: OSC

Regulator calls for continuity plans at one-man shops

By James Langton |January 26, 2024

1 min read

Industry

CIRO proposes personal corporations for reps

SRO consults on options for resolving long-standing regulatory disparity

By James Langton |January 25, 2024

1 min read

Regulation

Ex-fund rep banned for borrowing from widower

Client cashed RRSPs, paid DSCs, and took credit card advance to lend to rep, regulator alleged

By James Langton |January 25, 2024

1 min read

Market Insights

Sustainable bond issuance to hold up: Moody’s

Global issuance for 2024 is estimated at US$950 billion

By James Langton |January 25, 2024

1 min read

Regulation

Global Reporting Initiative revamps biodiversity reporting standard

Revisions aim to enhance corporate transparency to investors, policymakers

By James Langton |January 25, 2024

1 min read

Economic Indicators

Payrolls softened further in November: StatsCan

Growth in average weekly earnings rose in the month

By James Langton |January 25, 2024

1 min read

Market Insights

Troubled U.S. office sector a drag on Big Six: DBRS

Ailing sector poses a headwind to earnings, threat to credit quality

By James Langton |January 24, 2024

1 min read

Market Insights

Red Sea conflict not expected to cause oil price spike

Geopolitical turmoil supports commodity prices, finds Fitch

By James Langton |January 24, 2024

1 min read

Regulation

SEC tightens the screws on SPACs

New rules beef up disclosure, investor protections around shell company financings

By James Langton |January 24, 2024

1 min read

Market Insights

Global dividends to rise, led by banks: S&P

Regular payouts to maintain 4% growth, while variable dividends drop

By James Langton |January 24, 2024

1 min read

Economic Indicators

Provincial economies to diverge in 2024: Desjardins

Commodity producers to hold up better than interest-sensitive regions

By James Langton |January 23, 2024

1 min read

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RRSPs and estate administration

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RESPs and blended families

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Investments

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