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  1. James Langton
    The shares were issued last month without a vote by shareholders
  2. James Langton
    The FCAA is warning investors that these types of firms continue to operate and are not registered to do so in the province
  3. Beatrice Paez
    Jamie Peter Yaskiw failed to know his clients, neglected to ensure suitable recommendations and engaged in discretionary trading without consent
  4. Beatrice Paez
    The bank was fined US$136.9 million for deficiencies in its oversight of FX traders and US$19.7-million fine for “gaps” in its compliance program for the Volcker Rule
  5. James Langton
    Rights-offering exemption is allowing issuers to raise more capital in a shorter time
  6. James Langton
    The changes to the current rules “have been simplified to improve fairness and accessibility, particularly for a broad range of respondents”
  7. James Langton
    The rules, which come into place next year, are part of the global reform effort following the global financial crisis
  8. James Langton
    A new report points to a “protracted period of low profitability” for banks and the difficulties faced by insurers as major risks
  9. James Langton
    The helpline has also led to almost 650 issues being referred to other regulators, the U.S. SRO reports
  10. James Langton
    The committee will provide the regulator with feedback on emerging issues and the regulatory framework for investment products