Jamie Peter Yaskiw failed to know his clients, neglected to ensure suitable recommendations and engaged in discretionary trading without consent
The bank was fined US$136.9 million for deficiencies in its oversight of FX traders and US$19.7-million fine for “gaps” in its compliance program for the Volcker Rule
Nasdaq Ventures will invest in blockchain, machine learning and artificial intelligence, analytics and content aggregation, among other technologies
New CARP survey finds that 89% of Canadians over the age of 55 are in favour of a best interest standard while 79% are opposed to embedded fees
Mackenzie Global High Yield Fixed Income ETF aims to provide a steady income stream “with the potential for long-term capital growth”
The TFSA’s ASPIRE program is aiming to offer 10,000 work-related learning opportunities to undergraduate students
The SPIVA Canada Scorecard found that the equity market’s strong showing later in the year dragged down the performance of active managers
Vanguard Global All-Cap ex Canada Equity Index Pooled Fund will focus on emerging and developed markets outside of Canada
Each symbol will bear an identifying “H” at the tail of the symbol to mark that it’s currency hedged
TD Discovery Tool, which is modelled on behavioural finance, can produce a wealth personality report that highlights investors’ key traits