OSC LaunchPad aims to help fledgling fintech companies navigate the complex world of securities laws and help them get to market faster
The self-regulatory organization plans to focus on issues surrounding short selling
The SPAC advises the commission on a variety of policy and procedural initiatives relating to proceedings before the OSC’s administrative tribunal
Securities regulators have produced a series of videos designed to help demystify certain aspects of the CRM2 reforms for clients
The new reporting requirement is intended to enhance regulatory oversight of the U.S. Treasury market
IOSCO, CPMI release consultation paper
Basel Committee issues eleventh progress report
FCA will work with the industry to develop standards for underwriting league tables
CSA protocols intended to improve the accuracy, reliability and transparency of shareholder votes
The is being sanctioned in connection with trade reporting failures and related supervisory violations
Robert Adrian Crandall has also been fined $150,000 and ordered to pay $35,000 in costs
IIROC issues reminder to dealers
The ASIC’s ongoing review will help determine whether any changes could help the market and its users function more effectively
New rule will enhance reporting requirements and bolster liquidity risk management obligations among mutual funds and ETFs
The amendments to the trading rules and the dealer rules would consolidate the existing requirements into a single rule on best execution
Charles Albert Martin “disregarded directives” from his dealer to stop charging service fees to clients, or providing services outside his dealer
The U.S. regulator said the bank failed to properly safeguard information generated by its analysts
Investors lost $8.8 million after being referred to firm that subsequently want bankrupt
Final requirements designed to limit contagion in the financial system take effect in 2019
The U.S. regulator also obtained judgments and orders for more than US$4 billion in disgorgement and penalties.
The complexity speculative products means it may be difficult for the majority of retail investors to understand the risks involved
Rupinder Bhathal made redemptions and misappropriated funds from two clients’ RESP accounts without their knowledge and failed to co-operate with the investigation into her conduct
The SRO will focus instead on participating in the CSA’s initiative to enhance proficiency requirements in the investment industry and other “targeted reforms”
Review notes a “general lack of completeness” in fund managers’ policies and procedures