Investment dealers – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Mon, 10 Feb 2025 22:07:19 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Investment dealers – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 Investor class action against cannabis firm settled https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/investor-class-action-against-cannabis-firm-settled/ Mon, 10 Feb 2025 22:07:19 +0000 https://www.investmentexecutive.com/?p=502161 $30 million deal requires court approval, set for March 26

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]]> Global IPOs weak despite strong markets, trading https://uat-phoenix.investmentexecutive.com/news/research-and-markets/global-ipos-weak-despite-strong-markets-trading/ Mon, 10 Feb 2025 20:26:13 +0000 https://www.investmentexecutive.com/?p=502150 WFE calls for policymakers to support public markets

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]]> Stable outlook for U.S. retail brokers: Moody’s https://uat-phoenix.investmentexecutive.com/news/research-and-markets/stable-outlook-for-u-s-retail-brokers-moodys/ Fri, 07 Feb 2025 16:37:55 +0000 https://www.investmentexecutive.com/?p=501984 Demand for advice, strong markets to drive growth in client assets

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]]> CFR compliance sweep report on tap https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/cfr-compliance-sweep-report-on-tap/ Fri, 31 Jan 2025 21:06:13 +0000 https://www.investmentexecutive.com/?p=501492 CIRO, CSA to publish joint report on CFR sweep in first half

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]]> New CIRO fee model gets OSC approval https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/new-ciro-fee-model-gets-osc-approval/ Thu, 30 Jan 2025 20:38:35 +0000 https://www.investmentexecutive.com/?p=501348 After consultation, SRO cuts proposed new dealer application fees

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]]> Wall Street results signal strong 2025: DBRS https://uat-phoenix.investmentexecutive.com/news/research-and-markets/wall-street-results-signal-strong-2025-dbrs/ Fri, 24 Jan 2025 19:31:26 +0000 https://www.investmentexecutive.com/?p=500972 Investment banking pipeline looks healthy, trading activity should benefit too

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]]> Credit conditions tightened in late 2024: ECB https://uat-phoenix.investmentexecutive.com/news/research-and-markets/credit-conditions-tightened-in-late-2024-ecb/ Mon, 20 Jan 2025 19:49:11 +0000 https://www.investmentexecutive.com/?p=500598 Declining liquidity contributed to tighter credit terms, survey finds

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]]> Private equity giants hit with SEC texting charges https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/private-equity-giants-hit-with-sec-texting-charges/ Tue, 14 Jan 2025 18:36:40 +0000 https://www.investmentexecutive.com/?p=500183 Regulator settles with 12 firms for a combined US$63.1 million

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]]> SEC sanctions Robinhood violations https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/sec-sanctions-robinhood-violations/ Tue, 14 Jan 2025 18:24:16 +0000 https://www.investmentexecutive.com/?p=500178 Firms pay US$45 million to settle trade reporting, recordkeeping violations

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]]> Wall Street to report stronger earnings: Moody’s https://uat-phoenix.investmentexecutive.com/news/research-and-markets/wall-street-to-report-stronger-earnings-moodys/ Mon, 13 Jan 2025 20:59:09 +0000 https://www.investmentexecutive.com/?p=500115 Investment banking, trading revenues expected to rise in Q4

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