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  1. James Langton
    Shortcomings in client statements, followed by KYC, conflicts of interest and advertising were the top compliance issues for dealers
  2. Patricia Chisholm
    The end of a three-year transition period means express consent may be required
  3. James Langton
    Although the province already has such a standard on financial planners, it’s now expanding the rule to include broker-dealers, sales reps and advisors
  4. James Langton
    The regulator’s proposed reforms aim to enhance competition in the market and to better protect investors
  5. James Langton
    The alleged fraud allowed the firm to artificially reduce its operating costs, improving its extraction efficiency metrics and profitability
  6. James Langton
    The exercise would help regulators understand how a market crash would affect multiple CCPs, financial market infrastructure and the economy
  7. James Langton
    The initiative, to be known as World Investor Week, will feature regulators around the world launching investor-focused campaigns in October
  8. James Langton
    The assets will be liquidated and distributed to victims either through the Madoff Victim Fund or through the BLMIS Customer Fund
  9. James Langton
    The OSC has now reached no-contest settlements with all of the big banks and several other firms, generating about $342 million in compensation
  10. James Langton
    Comments on the IOSCO consultation are due by Aug. 30