There can be “significant consequences” if a firm incorrectly treats a pension income stream product as not being a security
CFTC chairman calls for improved data collection to help assess the possible systemic risk posed by hedge fund leverage
At its peak, Sino-Forest was the most valuable forestry company listed on the TSX, with a market capitalization of $6 billion
Hospitality events are likely to create conflicts of interest and result in firms not acting in their customers’ best interests
Over longer time periods, researchers did find patterns that are consistent with HFTs anticipating the order flow of non-HFTs
Input sought on whether the disclosure requirements continue to elicit the information that investors need for investment and voting decisions
The guidance spells out what firms should do relating to the cost disclosure and performance reporting provisions, which will be in force on July 15
Arif Hussein is disputing the U.K. regulator’s decision
The tests will focus on the risk that European CCPs would face if multiple clearing houses defaulted and they suffered simultaneous market shocks
The self-regulatory organization notes that John Phillip Watts failed to use sufficient due diligence to ensure investment recommendations to four clients were suitable
Technology, environmental, and social issues, will pose ongoing challenges for the industry
Mutual fund fee research Douglas Cumming is among the new committee members
Discussion paper aims to open a debate on improving the way that information is provided to investors
Regulators have not disclosed their frameworks for determining whether a plan is credible
Regulators suggest steps banks can take to comply with AML requirements
The requested funding would allow the SEC to hire an additional 250 staff and allow it to invest in technology
This latest ban is the FCA’s fourth public action against a trader for manipulating LIBOR submissions
The settlement preserves the U.S. government’s ability to bring criminal charges against the firm
Policymakers are now turning to the implementation leverage and funding requirements
The proposed changes would expand the enforcement powers of the Alberta Securities Commission
Prospective presenters are invited to submit written proposals outlining specific issues for discussion
Profitability, increasing interconnectedness of banks and non-bank firms and the growth of emerging markets are the top risks to Europe’s financial firms and markets
New regime called “major step forward for consumers”
FCA calls on management firms to review their practices
The new reporting process aims to reduce the compliance burden on issuers and bolster oversight by providing regulators with more information