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  1. IE Staff
    New this week: FSCO review; BCSC compliance report card
  2. James Langton
    Scammers using fake regulator web sites and false broker identities
  3. James Langton
    2015 Compliance Report Card lists top five deficiencies
  4. G.K. IE Staff
    The Alberta securities regulator has received multiple complaints
  5. James Langton
    U.S. proposals designed to minimize major losses
  6. James Langton
    Harmonized data has been made available since April on open positions, trade volume and values broken down by derivative class, type and trade type
  7. Alan Husdal
    Both men have pled guilt to fraud charges and will be sentenced in U.S. court in June
  8. James Langton
    U.K. proposals meant to ensure firms can handle routine losses and meet claims for client redress
  9. James Langton
    Regulators to work together to monitor banks’ compliance with derivatives data reporting
  10. James Langton
    But new standard must be created under U.S. securities laws for several reasons, says CEO of U.S. SRO