Industry

Ontario and N.B. have highest rates of outstanding IIROC fines

As the country’s biggest province, it’s no surprise that Ontario has the most IIROC registrants and the most fines outstanding since 2008—$18 million as of June 30, 2016. But what may be surprising is that Ontarians owe more than their share of the national fines outstanding to IIROC: Ontario’s fines are 62% of the national […]

By Melissa Shin |October 13, 2016

1 min read

IIROC re-publishes best ex proposal

Today, IIROC re-published for comment proposed amendments to the universal market integrity rules (UMIR) and the dealer member rules (DMR) that would consolidate existing UMIR best execution requirements and DMR requirements for fair pricing of over-the-counter (OTC) securities into a single rule on best execution. IIROC originally published amendments relating to best execution on December […]

By Staff |October 13, 2016

1 min read

How presidential candidates would reform Wall St.

Regulatory reform could be up in smoke or piled high.

October 13, 2016

4 min read

Only 1 in 4 Canadian equity funds outperformed, says SPIVA

A scorecard of Canadian mutual funds, published by S&P Dow Jones Indices, shows that few managers outperformed their funds’ respective benchmarks during the one-year period ended June 30, 2016. (Fund performance was measured net of fees.) Read: Seeking lower risk? Try twice the diversification Highlights from the report include: Read: Frustration rises on OSC awards […]

By Staff |October 13, 2016

1 min read