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  1. James Langton
    This approach aims to further enhance the regulator's accessibility and transparency
  2. James Langton
    New draft rules issued on Friday set out public disclosure requirements under the new risk-sensitive capital rules for life insurers
  3. James Langton
    The regulator’s paper follows a 2015 survey highlighting several concerns, including the management of conflicts connected with remuneration
  4. 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
  5. James Langton
    Canadian banks will have until 2021 to implement new capital requirements for market risk
  6. James Langton
    The proposed policy sets the minimum educational, training and experience necessary for reps to sell ETFs
  7. 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
  8. James Langton
    Firm fined $200,000, pays $2.5 million in client compensation over new-issue strategy employed by two advisors in Nova Scotia
  9. 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
  10. 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