The U.S. investment industry’s SRO is seeking comment from stakeholders for suggestions on how to improve various aspects of its operations
New Housing Rebate denied on failure to show home was primary residence
$76,000 now available to investment scheme victims
The CSA says that it will be seeking “high quality disclosure of material information”
The review of the European Supervisory Authorities is looking to identify areas in which the “effectiveness and efficiency” of the regulators can be strengthened and…
The report makes several recommendations dealing with titles and credentials that are likely to have a significant impact on many in the investment industry
The ASC had charged Kenneth Fowler with fraud in relation to a scheme involving the sale of securities in TIE Mortgage
As a result of a recent OSC review, 12 key issuers under scrutiny made “a number of significant disclosure changes,” the CSA reports
The firm will pay a fine of $130,000 and costs of $20,000 after admitting to various regulatory failings
A concise guide to recent regulatory initiatives and deadlines
Winston King-Loong Kuit has been ordered to disgorge $147,500 and pay $20,000 in costs for improperly distributing securities and providing misleading information to compliance
Dwight Victor Spaetgens has been banned for 15 years and must pay an administrative penalty of $40,000 and $65,000 for the regulator’s costs
The new hub in Kuala Lampur will provide seminars, staff secondments and an online toolkit on risk-based supervision and enforcement to members in the Asia-Pacific…
Sasha Jacob has also been suspended from acting in the capacity of “ultimate designated person” for three years for failing to oversee the activities and…
U.S. regulators seek to sanction executives for alleged participation in a referral hiring program that violated anti-bribery law
A new report states that IIROC has observed “a dramatic decrease in the number of applicants and [reps] with solvency and integrity issues”
The SRO has published a revised edition of the proposed rules, with comments due on May 12
Agreement will help open markets for innovative companies in both countries
Investors may have suffered as a result of major stock price moves caused by early, selective, or misleading disclosure made on social media
Proposal would make it easier to demonstrate and maintain qualifications
Certain uses of distributed ledger technology may trigger registration requirements, or the obligation to file a prospectus, the regulator states
However, the structure of corporate bond markets has shifted significantly in recent years due to several factors, IOSCO reports
Robert Hutchison and Mark Sandler both began two-year terms with the country’s largest regulator on Feb. 2
The candidates would fill upcoming vacancies on the panel as several members’ appointments are due to expire in May and October
Canada’s banks will now have until Jan. 1, 2019 to comply with new liquidity requirements of the Basel III reforms