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IFIC RELEASES 2022 INVESTMENT FUNDS REPORT

The Investment Funds Institute of Canada (IFIC) released its 2022 Investment Funds Report. The report provides data and analysis of mutual fund and exchange-traded fund (ETF) sales and assets under m...

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Fintrac
FINTRAC"S VIDEO SERIES ON METHODS TO VERIFY THE IDENTITY OF A CLIENT
January 27, 2023

FINTRAC publishes the second of a series of videos on prescribed methods that can be used to verify the identity of a person or a...

Investment Executive
NATIONAL BANK"S HEAD OF WEALTH MANAGEMENT TO RETIRE
January 27, 2023

The head of National Bank’s wealth management business is retiring, the firm said in a release on Thursday. Martin Gagnon, execut...

TMX
TMX REGULATORY USER GROUP MEMBERS LIST
January 26, 2023

On November 15, 2022 the Regulatory Division of Bourse de Montréal Inc. (the “Division”) published a circular (140-22) calling fo...

FINRA
FINRA PODCAST: PREPARING FOR THE UNEXPECTED: THE INS AND OUTS AND THE VALUE OF SUCCESSION PLANNING
January 26, 2023

Succession planning, catastrophe planning, contingency planning--whatever you want to call it, these plans are important not just...

SEC
SEC PROPOSES RULE TO PROHIBIT CONFLICTS OF INTEREST IN CERTAIN SECURITIZATIONS
January 26, 2023

The Securities and Exchange Commission proposed a rule to implement Section 27B of the Securities Act of 1933, a provision added ...