Industry News

Avoid being sued over KYP shortfalls, expert tells IAFP symposium

Advisors should conduct independent analysis, educate clients, write detailed notes

By Jonathan Got |September 30, 2024

3 min read

RBC DS sanctioned for trading rule breach

Block trade in interlisted stock was executed off-exchange without regulatory approval

By James Langton |September 30, 2024

2 min read

BCSC settles insider trading case

Man agrees to pay trading profits plus 50% to regulator

By James Langton |September 27, 2024

2 min read

ATB Financial to acquire Manitoba firm with $5.8B in AUM

BCV Asset Management Inc. to retain Winnipeg headquarters, branding

By Noushin Ziafati |September 27, 2024

1 min read