Industry

Greg Walker joins BMO ETF team Greg Walker joins BMO ETF team

Industry

Greg Walker joins BMO ETF team

The veteran of RBC and Vanguard has extensive fixed income experience

By Staff |August 9, 2021

1 min read

SEC approves Nasdaq’s plan to require board diversity  Fallback Image Decorative pattern

Industry

SEC approves Nasdaq’s plan to require board diversity 

Companies that don’t meet diversity criteria must explain why they couldn’t comply 

By Alexandra Olson, The Associated Press |August 6, 2021

3 min read

SEC orders US$13M in disgorgement, penalties in first decentralized finance case Fallback Image Decorative pattern

Industry

SEC orders US$13M in disgorgement, penalties in first decentralized finance case

Two men from Florida agreed to the penalties without admitting or denying the charges

By Staff |August 6, 2021

2 min read

Two firms refused to compensate clients last year, report says Fallback Image Decorative pattern

Industry

Two firms refused to compensate clients last year, report says

OBSI’s Joint Regulators Committee said client compensation has fallen $1.3 million short of the recommended payout over three years

By Mark Burgess |August 6, 2021

2 min read

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