Industry News

Sears Canada agrees to continue special payments to DB plan, retiree benefits

Sears Canada Inc. reached an agreement with employees and retirees

By Jennifer Paterson, Benefits Canada |July 14, 2017

2 min read

Manulife agrees to $11.7M no-contest settlement with OSC

The Ontario Securities Commission has approved an $11.7-million no-contest settlement agreement with Manulife Securities Inc. and Manulife Securities Investment Services Inc. This settlement follows allegations by OSC staff that Manulife dealers’ systems of controls and supervision had inadequacies that resulted in certain clients paying excess fees that were not detected or corrected quickly enough. OSC […]

By Staff |July 13, 2017

2 min read

Please make honest, correct applications, CSA asks again

For those who don't, the consequences could be dire

By Staff |July 13, 2017

2 min read

IIROC licenses new tech for better market surveillance

IIROC, the self-regulatory body for investment dealers, says it is stepping up its market surveillance capabilities after reaching an agreement to use upgraded Nasdaq technology. The agreement, announced Thursday, allows IIROC to use new Nasdaq SMARTS surveillance technology to oversee all securities trading on debt and equity markets in Canada. The upgraded Nasdaq SMARTS system, […]

By Staff |July 13, 2017

1 min read