The SRO’s staff proved allegations that the two former reps failed to co-operate with the MFDA’s investigation into the failed mutual fund dealer
The goal is to encourage further dialogue on the representation of women on corporate boards and in senior management
Letter calls for co-ordination between state and federal agencies “
Consultation paper sets out requirements on the content and presentation of retail disclosure documents
The bank has 60 days to submit a plan for enhancing oversight
Quadrus to pay clients $8 million in compensation
The goal is to enhance financial services innovation
The report also identifies some of the key risks associated with the custody of assets
Reforms to bank capital and liquidity are ahead of schedule, whereas reforms to over-the-counter (OTC) derivatives markets are falling behind
Regulators shine spotlight on marijuana-related investments, binary options and Digital Currency
Financial institutions could be encouraged to disclose their exposures to climate risks and their efforts to manage those exposures
Paul Azeff and Korin Bobrow are still serving clients pending their appeal of an OSC ban
The requirements aim to ensure that G-SIBs have sufficient loss-absorbing and recapitalization capacity to allow for an orderly resolution if they were to fail
Quadrus self-reported that its funds indirectly overcharged certain clients
New report includes a guide for audit firm transparency reporting
Certain non-profits, such as charities, non-profits tmay be particularly vulnerable to money laundering abuse
The U.S. derivatives regulator collected more than US$2.8 billion in penalties
The award could have been higher had the whistleblower not hesitated
The goal is to increase transparency and efficiency in the OTC derivatives market while aiming to preserve the anonymity of counterparties
The new proposals would require dealers to include the IIROC logo on all client account statements
New regime will expand ways for small companies to raise capital from a large number of investors online
The expert panel reviewing the mandates of FSCO and DICO recommends the two organizations be replaced by a new Financial Services Regulatory Authority
Bank to fire six in settlement with U.S. regulations
MFDA sanctions against Ed Rempel relate to a complaint over leveraged investing
IIROC ordered sanctions against Northern Securites and its CEO in 2012