Mutual fund redemptions continued in October

Exchange-traded funds report net sales but fall short of year-over-year gains.

INVESTMENT | November 29 2022 10:38AM
Association president and CEO discusses changes under his tenure and future challenges

In a wide-ranging interview covering topics from the gamification of trading to advisor proficiency, Paul Bourque, outgo…

SOCIETY | November 03 2022 10:55AM
Photocopying signatures constitutes falsification

Representative sanctioned for reusing signature pages and for altering client forms without obtaining client initials.

INVESTMENT | November 03 2022 10:03AM
Remedial education and fine ordered for branch manager

Dealing representative also prohibited from acting as branch manager for 18 months after the discovery of pre-signed for…

INVESTMENT | October 25 2022 12:30PM
Mutual fund redemptions continue in September

ETF assets also decrease despite net sales.

INVESTMENT | October 25 2022 10:24AM
Change is coming in how financial advice is delivered

While many clients prize the value of advice they are given, those in the industry say how that advice will be dispensed…

INVESTMENT | October 05 2022 10:59AM
New self regulatory organization: Firms can retain their business models

The head of the new SRO that merges the IIROC and the MFDA, says it will not force any firm to change its basic foundati…

INVESTMENT | October 04 2022 10:58AM