IIROC calls for nominations to fixed income advisory committee
The FIAC makes recommendations to IIROC staff about proposed initiatives relating to fixed income trading
- By: James Langton
- January 30, 2018 November 5, 2019
- 15:15
The FIAC makes recommendations to IIROC staff about proposed initiatives relating to fixed income trading
The “majority” of dealers are disclosing DSCs adequately, but some reported DSCs and trailer fees bundled together, new MFDA report finds
The Dubai-based firm trading plaform is not registered to trade securities in the province
The dealer has implemented controls to prevent a similar issue from occurring in the future
The goal is to create, maintain and promote high proficiency standards
Two financial industry veterans and one academic bring longstanding expertise in securities law
An OSC panel was reasonable in concluding that advisors should have known they were acting on inside information
Harassing and abusive conduct violates ethical principles
Former reps that return to the industry would no longer be able to use the CSC and CPH to satisfy their CE requirements
Permanent trading and registration bans ordered against executives Miklos Nagy and Tony Sanfelice
Las Vegas-based virtual currency firm allegedly solicited more than US$6 million for investments
Global banks have shifted their business mix away from complex and risky trading activities, report finds
European regulators provide guidance to firms on AML compliance
The BCSC is boosting its efforts to educate investors about the importance of understanding their investment fees
The helpline aims to provide immediate answers on basic compliance questions
The respondents were allegedly “engaged in shocking misconduct” and were subsequently terminated, resigned or placed on leave
The lawyers will join the OSC’s advisory committee on the operation of its in-house tribunal
The SEC and CFTC pledge to stop and prevent fraud
The AMF will follow up on the results of the review and may require firms to make changes to their “Fund Facts” documents
IIROC seeks input on changes to plain language rulebook
Unauthorized discretionary by Adam Woodward caused significant client losses, regulator says
Investors urged to be very careful in considering these highly speculative investments
Emphasis is on CRM2, cybersecurity and conflicts of interest