Unregistered securities distributions and unregistered investment professionals are still the most common complaints
IIROC is adopting a new model that will see it award the job of delivering industry education to a single provider for five-year terms
The results of research on Alberta-based issuers reveal that women representation on boards varies greatly depending on a company’s size
New report suggests that the compliance and registrant regulation branch is analyzing approaches for creating a best interest standard
Two U.S. audit firms and seven audit professionals also agreed to settle the SEC’s charges
With the launch of TSX Alpha Exchange, an unprotected market will be operating alongside protected markets for the first time
U.S. regulator concludes first action against an unregistered Bitcoin options trading platform
Proposed rule would permit firms to place temporary holds on accounts in cases of suspected financial exploitation
Shortcomings were noted in several areas, including suitability, awareness of advisor credentials and fee disclosure
Regulators propose making corporate debt trading publicly available
Guidance highlights best practices at U.S. brokerage firms
Report recommends initiatives that focus on influencing retail investor attitudes, behavior and knowledge
A simple rating would help consumers decide which firms are likely to treat them well
However, banks are still falling short of the higher target levels
Jaspen Capital Partners and its CEO agree to return funds to settle SEC allegations
Fund dealers face a number of decisions
Stuart McKinnon had sought an exemption to register with De Thomas Financial
The increase is due to recent market volatility
The change is intended to accommodate the October year-ends of Canada’s big banks
Firm ordered to cease dealing with the public
SRO publishes final academic paper on impact of HFT
Board re-appoints Marianne Harris as chairwoman
October event coincides with IOSCO meeting in Toronto
Rule breakers often evade payment by simply leaving the securities industry
Bill Rice retiring at the end of the month