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report on business
Canada’s investment industry regulator seeks green light from Ontario for members to use financial adviser title
FILE PHOTO: The Bay Street sign is pictured in the heart of the financial district as people walk by in Toronto, May 22, 2008. REUTERS/Mark Blinch (CANADA)/File Photo
report on business
Some investment firms not complying with conflict-of-interest rules when selling products, regulator says
The S&P TSX composite index screen at the TMX Market Centre in downtown Toronto is photographed on Friday, November 11, 2022. THE CANADIAN PRESS/ Tijana Martin
opinion
Merger of two regulators could lower costs and increase innovation
Donna Bristow
report on business
Canadian regulators consider rules to reveal identities of short sellers and details of their trades
A sign board in Toronto displays the level of the TSX close on Monday March 16, 2020. About a quarter of Canadians are losing faith in the stock market and are now looking to cash out their investments, a new survey has found.THE CANADIAN PRESS/Frank Gunn
your practice
What investment industry stakeholders are looking for from the new self-regulatory organization
Canada's investment dealer regulator says the governments of the Northwest Territories, Nunavut and Yukon have joined seven provinces in granting it legal authority to protect investors and discipline wrongdoers. Investment Industry Regulatory Organization of Canada President and CEO Andrew Kriegler is interviewed during an event at James Bay New Horizons in Victoria on Friday, April 27, 2018. THE CANADIAN PRESS/Chad Hipolito
report on business
Coinsquare becomes first crypto company to register with IIROC
FILE PHOTO: Representations of cryptocurrencies Bitcoin, Ethereum, DogeCoin, Ripple, Litecoin are placed on PC motherboard in this illustration taken, June 29, 2021. REUTERS/Dado Ruvic/Illustration/File Photo
advisor news
KYC and ESG: Zeroing in on client values can pay off for advisors
explainer
What is the stock market and how does it work?
your practice
Financial services firms ease teams back to office with hybrid work
closeup of a young man in an office holding a briefcase and a surgical mask in his hand
the future of financial advice
What a declining number of advisors means for the investment industry and clients
Young couple using digital tablet with their financial advisor in the office.
report on business
Investment industry regulator closing in on fines owed
“We know from our experience in conducting firm reviews that there is room for improvement in how firms identify and manage potential conflicts that relate to compensation,” said Andrew Kriegler, chief executive officer at IIROC.
globe investor
Does your investment advisor understand your social values?
report on business
Andrew Kriegler named CEO of new merged securities industry regulator
Canada's investment dealer regulator says the governments of the Northwest Territories, Nunavut and Yukon have joined seven provinces in granting it legal authority to protect investors and discipline wrongdoers. Investment Industry Regulatory Organization of Canada President and CEO Andrew Kriegler is interviewed during an event at James Bay New Horizons in Victoria on Friday, April 27, 2018. THE CANADIAN PRESS/Chad Hipolito
report on business
Former PI Financial owner Gary Ng receives $5-million fine and a permanent ban from working in securities industry
MIKAELA MACKENZIE / WINNIPEG FREE PRESS Gary Ng, a 34 yr old U of M grad who just acquired PI Financial for $100 million, poses for a portrait at the Fairmont in Winnipeg on Wednesday, Nov. 28, 2018. Winnipeg Free Press 2018. MANDATORY CREDIT: Mikaela MacKenzie / Winnipeg Free Press
report on business
Regulator rules former PI Financial owner Gary Ng fraudulently obtained a loan to finance his purchase of the brokerage firm
Gary Ng who acquired PI Financial for $100-million in 2018 at age 34 poses for a portrait at the Fairmont Winnipeg Hotel
report on business
Merger of Canadian investment industry regulators heads to final stages with new board
Office towers are photographed in Toronto's financial district on Wednesday, June 27, 2018. A report from the Canadian Securities Administrators says that women now sit in two out of every 10  corporate board seats — but women lead as board chair for only six per cent of public Canadian companies surveyed. THE CANADIAN PRESS/ Tijana Martin
your practice
Two training-related tax credits could help advisors save on CE
ISTOCK
report on business
Fidelity approved to handle bitcoin in Canada, clearing path for institutional investors
FILE PHOTO: A representation of the virtual cryptocurrency bitcoin is seen in this picture illustration taken October 19, 2021. REUTERS/Edgar Su/File Photo
morning update newsletter
Morning Update: Mixed vaccines could present travel challenges
report on business
Canadian regulators to create new watchdog for investment industry, replacing IIROC and MFDA
Office towers are photographed in Toronto's financial district on Wednesday, June 27, 2018. A report from the Canadian Securities Administrators says that women now sit in two out of every 10  corporate board seats — but women lead as board chair for only six per cent of public Canadian companies surveyed. THE CANADIAN PRESS/ Tijana Martin
advisor news
Do regulators need to prioritize negligence over fraud?
Suspect businessman displaying regret, worry and concern using body language in dark interrogation room
advisor news
New accreditation may lead to growth in use of the ‘Smith Manoeuvre’
House symbol sitting over a bar graph. Selective focus. Horizontal composition with copy space. Mortgage and finance concept.
young money
These four young investors jumped into the market during the pandemic. Here’s what they’re buying
Angela Wright, a young Ottawa based investor, out along the Ottawa River Tuesday, June 29, 2021. Wright is one of many young investors that started their financial journey during the pandemic. Ashley Fraser/Globe and Mail
inside the market
Risk on steroids: Canadians are racking up record debt to play the stock market
Condos in Toronto are photographed on Wednesday, May 19, 2021. (Christopher Katsarov/The Globe and Mail)
inside the market
Short sales on the TSX: What bearish investors are betting against
The TSX logo is seen in Toronto in this file photo.
energy and resources
BCSC halts trading in Valorem, one of four miners targeted in apparent pump-and-dump scam
Office towers are photographed in Toronto's financial district on Wednesday, June 27, 2018. A report from the Canadian Securities Administrators says that women now sit in two out of every 10  corporate board seats — but women lead as board chair for only six per cent of public Canadian companies surveyed. THE CANADIAN PRESS/ Tijana Martin
report on business
Private debt manager Bridging Finance placed in receivership as OSC investigates its activities
David and Natasha Sharpe, of Bridging Finance Inc. are photographed in the company's downtown Toronto offices on April 11 2019. Bridging Finance provided financing for the purchase of the MV Sivulliq, a shrimp trawler.
report on business
Burned investor’s ‘pump and dump’ experience raises questions about IIROC
Toronto, Ontario - November 5, 2020 -- TMX -- A man walks by a giant electronic sign at the Toronto Stock Exchange in Toronto, Thursday, November 5, 2020. (Mark Blinch/Globe and Mail)
report on business
Investment-industry regulator drops plan for minor-offence program
Bank towers are shown on Bay Street in Toronto's financial district, on Wednesday, June 16, 2010. THE CANADIAN PRESS/Adrien Veczan
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Investment industry groups push for quicker merger of regulators
Bank towers are shown on Bay Street in Toronto's financial district, on Wednesday, June 16, 2010. THE CANADIAN PRESS/Adrien Veczan
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Concerns mount over cryptocurrency guidelines
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Single self-regulatory body for Canada’s securities industry could launch quickly, mutual fund overseer says
Mark Gordon, president and cep of the Mutual Funds Dealers Association of Canada. (Fred Lum/The Globe and Mail)
advisor news
Retail trading phenomenon putting advisors in a tough spot
A Wealthsimple Trade app icon is shown on a smartphone on Tuesday, Dec. 15, 2020. Some stock trading platforms say usership has spiked in 2020, as a whipsawing stock market and more time at home has Canadians day trading. THE CANADIAN PRESS/Jesse Johnston
report on business
MFDA expands proposal for merger of regulators
Bank buildings are photographed in Toronto's financial district on Wednesday, June 27, 2018. Financial institutions around the world are backing away from fossil fuels, both for business and environmental reasons. Canadian banks have made some statements in that direction, but they score poorly in assessments of non-green financing. THE CANADIAN PRESS/ Tijana Martin
report on business
Regulators facing challenges dealing with Reddit-based market manipulation
The new BlackBerry Key2 smartphone is displayed at a product launch event for the device in Manhattan in New York, U.S., June 7, 2018. REUTERS/Mike Segar - RC124C11FBC0
report on business
Agencies battle over who dropped the ball as PACE credit union back under regulator’s control
The exterior of the Pace Credit Union corporate office in Vaughan, Ont., photographed on Monday, December 28, 2020. Tijana Martin/ The Globe and Mail