The European authority is looking for insight into how various players perceive the most recent proxy seasons to have evolved, among other things
Institutional investors now have a set of best practices to reduce their reliance on credit-rating agencies
Global regulators are concerned about flaws in bank risk modeling
Quebec regulator imposed more than $8.7 million in fines and penalties
Inconsistencies make meaningful comparison of ratios across banks and countries difficult
Regulator looking for candidates with experience from a variety of different perspectives
Consultation paper outlines issues for discussion
Australian gave funds to unregistered trader, regulator says
Two parties claiming to be victims of a scheme the OSC investigated are seeking to sue lawyers involved in the case
The regulator alleges that the accused purchased stolen personal information in order to market RESP products to new parents
Advisor failed to represent properly or explain adequately the risks associated with leveraged investment recommendations made to 18 clients
The Quebec regulator has not filed any charges
Regulator contemplates possible changes to derivatives reporting rules
The agreement will result in more consistent handling of consumer complaints, more effective risk surveillance and greater collaboration in addressing market conduct issues
Bulletin aims to help investors understand the potential impact of a diminished ability to make decisions
Investors now have access to post-trade price information
The roundtable will take place on June 9 in Toronto
Scammers using fake regulator web sites and false broker identities
2015 Compliance Report Card lists top five deficiencies
U.S. proposals designed to minimize major losses
Harmonized data has been made available since April on open positions, trade volume and values broken down by derivative class, type and trade type
Both men have pled guilt to fraud charges and will be sentenced in U.S. court in June
U.K. proposals meant to ensure firms can handle routine losses and meet claims for client redress
Regulators to work together to monitor banks’ compliance with derivatives data reporting