12 people are alleged to have used access to privileged information about impending Amaya acquisitions to reap nearly $1.5 million in profit over five years
Publication aims to help protect senior clients from the adverse consequences of financial exploitation and diminished capacity
The product most commonly associated with potentially unsuitable recommendations is variable annuities
Venture Pro Trader pitching gold options
Court rules against the Ontario Securities Commission
Planned revisions to the treatment of insured residential mortgages reflect changing risks
U.S. regulators aim to create a more level playing filed and enhance safety
Wrap programs are one of the regulator’s compliance priorities
The anti-exploitation program will now include training for employees of banks and credit unions
Investors can participate in a distribution even if their investment dealer advises against it
New rules aim to ensure derivatives market participants are adequately evaluating their cyber risks, and testing their cybersecurity defenses
U.K. regulator pondering the introduction of due diligence requirements
SEAC advises OSC staff on policy and operational issues concerning older investors
Joint committee cites low yields, low growth and other risks to EU financial system
ETF expenses not included in the calculations of MERs and TERs
New guidance on the international dealer exemption aims to sooth concerns raised by Canadian institutional investors
The pair have both been sentenced to three months in jail, followed by 18 months of probation and 125 community service, according to the OSC
The increase in revenue was due primarily to the impact of new fee rules, particularly higher participation fees
Gaudet, whom the OSC had banned permanently in 1991, admitted to trading without registration and issuing securities without a prospectus
But there’s good progress on trade reporting requirements for OTC derivatives, and higher capital requirements for non-centrally cleared derivatives are mostly in force
Mackenzie and Quadrus will not have to deliver the document to clients if they’re in a program that automatically switches them to a lower-fee series
New rule amendments aim to enhance advisor report and disclosure
The report sets out examples of good practice in disclosure, compensation, transaction costs and commissions
Polina Edry and Subramaniam Sulur were both fined, sentenced to community service and probation after pleading guilty for purchasing contact information of new mothers
The new rules combine the existing sets of dealer and marketplace rules into a single set of rules for all enforcement proceedings