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  1. James Langton
    Quebec regulator cautions investors, issuers
  2. Canadian Press
    The umbrella organization for Canada’s provincial and territorial securities regulators. says it will communicate more details about its position shortly
  3. James Langton
    The revised requirements for banks will begin to be phased in during the second quarter
  4. James Langton
    Robert Jackson Jr. and Hester Peirce participated in the inaugural meeting of the SEC’s new fixed income market structure advisory committee
  5. James Langton
    The former BMO Nesbitt Burns advisor admitted he sold new issues to clients, in part, to generate additional commissions for himself and the firm
  6. James Langton
    Report follows the conclusion of ESMA’s review of the current fee structures in the credit rating and trade repository industries
  7. James Langton
    Retail investors may be at serious risk of harm from poor practices in from distributors
  8. James Langton
    The report examines segmentation, market quality measures, and differences in routing behaviour around the TSX Alpha Exchange redesign
  9. Alan Husdal
    Areas of focus include fraud, high-risk firms and brokers, technology governance and cybersecurity, and market regulation
  10. James Langton
    The founders of North American Financial Group and North American Capital argued that a hearing panel’s and findings and penalty decision were unreasonable