Rebecca Cowdery, partner at Borden Ladner Gervais and a specialist in the regulation of investment funds, explains the impact of the new CRM 2 regulations…
Penalties total more than $2 million
Chairman emphasizes the growing role behavioral economics and social media will play in IOSCO’s work
Newly minted FCSC provides one-stop point of contact for financial services consumers
Regulator seeking to impose penalties against Ajit Basi and Vincent Sirianni
Budget bill received royal assent earlier this month
Former Waterloo advisor Jennifer Killins still awaits a sentencing hearing, expected in September
Proposals set out how derivatives transactions should be treated under Basel III
SRO considers dropping sections that give district councils the power to suspend or terminate a dealer
Peregrine formally resigns membership
CFTC charges MF Global, Jon Corzine and Edith O’Brien over brokerage collapse
New Found Freedom Financial founders banned
Regulator releases final Statement of Priorities for 2013-14
Regulator releases results of mining issuer technical reports sweep
Guidelines come in the wake of regulatory actions against banks for failures in combating money laundering and terrorist financing
State and provincial regulators speak out on a U.S. Supreme Court decision enforcing mandatory arbitration
CEO Susan Wolburgh Jenah speaks for the first time about IIROC’s data loss and the steps the organization is taking to ensure it doesn’t happen…
The Ontario Securities Commission (OSC) is inviting applications for membership on its Investor Advisory Panel (IAP). Established in 2010, the IAP is seeking several new…
Industry members discuss possible costs of adopting a statutory best interest standard for advisors and dealers
Anna Hrynisak used Ontario bank accounts to disburse funds from obtained from fraud victims
CSA extends deadline for fund rule comments
The Financial Stability Board’s latest meeting focused on vulnerabilities affecting the global financial system
The Investment Industry Regulatory Organization of Canada (IIROC) has fined an Ontario rep $30,000 for due diligence shortcomings On June 10, an IIROC hearing panel…
Hearing scheduled for July 15
Report stresses the importance of disclosure and conduct requirements for ETF dealers