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  1. James Langton
    The B.C. regulator found that the four respondents perpetrated a fraud
  2. Fiona Collie
    Changes aimed at helping investors understand syndicated mortgages
  3. James Langton
    The settlement stems from allegations of internal control failures at the firm
  4. James Langton
    The review will examine firms’ systems and policies to ensure that trade data is being reported accurately and on time
  5. Alan Husdal
    Credit rating agency failure to comply with corporate governance, compliance and record-keeping requirements under European rules
  6. IE Staff
    New this week: MFDA proposes CE requirements; Digital Privacy Act
  7. James Langton
    Consultation paper proposes an updated set of international best practices
  8. James Langton
    Tests should include scenarios that exceed funds’ past redemption experience
  9. James Langton
    Regulators outline several deficiencies, including irregularities involving the minimum-amount exemption
  10. James Langton
    New amendments are intended to provide sophisticated investors access to a broader range of investment opportunities