Industry News

CFA Institute targets questionable advice from finfluencers

CFA Institute targets questionable advice from finfluencers

Regulators could create public reports on complaints about finfluencers, Institute recommends

By Jonathan Got |January 26, 2024

3 min read

Proposed trailer fee class action denied again

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

2 min read

Small firms need living wills: OSC

Small firms need living wills: OSC

Regulator calls for continuity plans at one-man shops

By James Langton |January 26, 2024

3 min read

CIRO proposes personal corporations for reps

CIRO proposes personal corporations for reps

SRO consults on options for resolving long-standing regulatory disparity

By James Langton |January 25, 2024

2 min read

Ex-fund rep banned for borrowing from widower

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

Global Reporting Initiative revamps biodiversity reporting standard

Global Reporting Initiative revamps biodiversity reporting standard

Revisions aim to enhance corporate transparency to investors, policymakers

By James Langton |January 25, 2024

2 min read

SEC tightens the screws on SPACs

SEC tightens the screws on SPACs

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

By James Langton |January 24, 2024

2 min read

CIRO approved as credentialing body under Ontario title protection

CIRO approved as credentialing body under Ontario title protection

Improved proficiency for financial advisors still on the table amid persistent demand

By Michelle Schriver |January 23, 2024

4 min read

OSC’s Kehoe will exit at the end of February

OSC’s Kehoe will exit at the end of February

Leslie Byberg will oversee enforcement as the regulator looks for a new director

By Katie Keir |January 23, 2024

2 min read

U.S. banks’ weak Q4 highlights headwinds: Fitch

U.S. banks’ weak Q4 highlights headwinds: Fitch

Declining net interest income and rising credit stress to weigh on results in 2024

By James Langton |January 23, 2024

3 min read

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