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  1. IE Staff
    Regulatory deadlines and updates for financial professionals. New this week: New MFDA research project, more on the Cummings report
  2. Associated Press
    Cecil Speight carried out his fraud through his ownership of International Stock Transfer
  3. James Langton
    Citing lack of support, the regulator has decided not to proceed with a proposal to adopt lower minimum capital requirements for this firm
  4. James Langton
    Edwin Weinstein and Douglas Cumming explained the results of their work in a webinar, but steered clear of suggesting specific regulatory intervention
  5. James Langton
    The investor compensation represents the largest amount in an Ontario Securities Commission no-contest settlement since the process was introduced
  6. James Langton
    Action intended to protect depositors and creditors after German regulator shuts down bank
  7. James Langton
    Applications due by Feb. 24
  8. James Langton
    The firm was fined a penalty of $75,000 and charged costs of $15,000 resulting from the inappropriate trading of leveraged ETFs
  9. James Langton
    Authors of report on mutual fund fee and distribution structures respond to many questions about their research
  10. James Langton
    The former officer failed to communicate openly with the Financial Conduct Authority amid growing concerns about the firm’s synthetic credit portfolio in 2012