Draft aims to consolidate guidance concerning marketplace disclosure and average price trade disclosure on trade confirmations
No enforcement actions planned
British regulator finds serious problems with customer complaint handling decisions at two thirds of firms reviewed
Quebec regulator seeking fines worth $1.7 million
New York Attorney General calls traders with early data a growing threat
Ministers agree to further improve existing provincial system
Employees of financial firms may be able to spot transactions, activity, or behaviour that signals financial abuse
Marceau says feds are creating uncertainty that could undermine investor confidence
Largest ever recovery under province’s civil forfeiture law
Beryl Henderson must repay $474,000 to investors
Framework will ensure rules are better designed and minimize unnecessary burdens
Regulator alleges firm altered minutes of board of director and audit committee meetings
Superintendent Julie Dickson reminds insurers to prepare for rising risks
Comment period on gender diversity paper extended
Ian Telfer reprimanded, agrees to pay $200,000
Firm’s policies change to prevent similar conduct
Feds pledge to pay provinces that will lose net revenue
Members will serve two-year term, starting Nov. 1
Rule would require U.S. brokers to tell their clients about any big bonuses they receive when they change firms
Alberta says is will need time to review the federal government’s plan
Brian Kirkham to pay $25,000 for illegal distributions and misrepresentations by firm
Regulatory guidance will be published in early 2014
B.C. and Ontario are the first provinces to join the new initiative
JPMorgan will pay US$920 million to settle with U.S., UK regulators
Proposed rule would require companies to disclose CEO-worker pay difference