The OSC’s allegations state that Mark Rotstein and his firm “had been engaging in unlawful trading and advising for a year”
The suspension follows an OSC decision banning Paul Azeff and Korin Bobrow
The issue of managing liquidity has become more challenging for fund managers since the financial crisis, the FCA reports
The guidelines, which are based on global principles developed in the wake of the financial crisis, will come into effect on Sept. 1
The proposal aims to improve transparency to retail investors
Report makes recommendations for benchmark administrators aimed at strengthening the implementation of IOSCO principles
Canada’s provincial regulators also published final amendments to the “early warning” system on Thursday
The aim is to create the conditions for greater innovation
The move to pre-trade delivery of Fund Facts is set for May 30
The revised scope of application addresses concerns of market participants regarding indirect clearing
However, it is difficult to assess whether the FCA’s efforts have reduced the overall scale of mis-selling financial products to consumers
Illegal distribution cases remain the biggest issue for regulators
Investors must be more diligent about their own finances, the BCSC says
Discussion paper intended to spark a discussion on how industry and regulator can work together to address issues facing older consumers
U.S. regulator alleges that Ryan Magee fraudulently solicited US$2 million from investors in the U.S. and Canada
Participants intending to trade mortgage securities must be registered
Many firms do not show consistently good practice across all products and services, U.K. study finds
The former head of Crucible Capital has been banned from the industry
The Quebec regulator says confidentiality is the main motivation for whistleblowers to report possible misconduct
The SRO will also be exploring the use of social media as part of its compliance priorities for 2016, which were published on Thursday
A review report of insider reporting from the OSC found “material insider reporting deficiencies” in approximately 70% of issuers
The U.S. regulator alleged that the analyst certified a rating on a stock that was inconsistent with his personal view
Investment industry and investor advocate groups are praising the launch of new Fact Cards that can be used to educate investors on various topics
Roger Schoer ordered to pay $109,000 in restitution for fraud