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  1. James Langton
    Although a hearing panel found Michael Sutton had no intent to violate the rules, it ruled that he failed to ensure proprietary funds were priced properly
  2. James Langton
    Canadian banks will have until 2021 to implement new capital requirements for market risk
  3. James Langton
    The proposed policy sets the minimum educational, training and experience necessary for reps to sell ETFs
  4. James Langton
    The company, which goes by the name Vancouver Stock Exchange Corp., is not authorized to operate as an exchange, the regulator notes in an alert
  5. James Langton
    Firm fined $200,000, pays $2.5 million in client compensation over new-issue strategy employed by two advisors in Nova Scotia
  6. James Langton
    The traders, along with unnamed co-conspirators, are alleged to have conspired to fix prices and rig bids for the euro–U.S. dollar currency pair
  7. James Langton
    The study will look at platforms that distribute retail products and administer client assets as well as firms that provide retail investment products through an online portal
  8. James Langton
    French banking giant cited for “unsafe and unsound” practices in FX markets
  9. James Langton
    The guidance aims to provide firms with the regulator’s views on the basic design requirements for these retirement products
  10. James Langton
    Applications for the SRO's representative on CDS's board are due by Aug. 18