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  1. IE Staff
    Upcoming regulatory deadlines of interest to financial advisors. Updated weekly.
  2. Canadian Press
    Investigation also involves Fairfax president, Paul Rivett
  3. James Langton
    Banks are developing new securities to bolster capital and reduce risk of bailouts
  4. James Langton
    Regulator says default rates may eliminate fee negotiations between advisors and investors
  5. James Langton
    Individual had tried to address matter internally before turning to the SEC, says regulator
  6. James Langton
    Hearing panel also levies fine against director for improper exemption distributions
  7. James Langton
    Companies seek recognition for the OTC derivatives markets ahead of reforms
  8. James Langton
    Regulator’s review found many firms do not ensure clients get best execution on trades
  9. James Langton
    New rules will incorporate Basel Committee’s leverage ratio requirements
  10. James Langton
    Former rep currently facing allegations of securities fraud from the BCSC