The Ontario regulator aims to verify that insurance agents are meeting their licensing requirements, have valid E&O insurance and are completing their CE credits
SEC bars stock promoters from penny stock industry
Bank incorrectly valued derivatives
Cooling off periods introduced on key staff who leave for the private sector
Eckstein can continue serving as an officer of the private company where he has worked for the past 12 years
Chandran companies raised $39 million from more than 200 investors
Study will focus on choice, transparency, bundling and cross-subsidization in bond, share sales
The rules should no longer distinguish between over-the-counter and exchange-traded derivative transaction when calculating counterparty risk
General obligation U.S. state and municipal bonds may quality as high-quality liquid assets
Parallel orders provide dealers until the end of the year to implement new requirements relating to market value, position cost and account statements
New York’s first superintendent of financial services makes decision following massive global settlement with major banks
Proposed rules aim to enhance the quality of information available to investors
Multiple banks fined for FX and interest rate rigging
Windsor man misrepresented recommendations to clients, MFDA panel finds
Eckstein previously pled guilty to fraud
Numerous rule violations net $75,000 fine
Gordon Mak is banned from trading, registration and relying on exemptions until 2020
$20,780 penalty imposed on numbered company
Proposed changes include “entitlement and corporate action event management” fees for issuers
Pair sanctioned for KYC and supervisory failings
Exemption designed to facilitate capital raising by very early-stage companies
IOSCO, IFIE conference will feature speakers from 17 countries
Regulator rejects call for heavier penalty
Agency sees increasing demand from insurers and pension funds for project and infrastructure investments