Rule aims to address conflicts of interest that can arise when firms offer significant financial incentives to recruit reps but don’t tell clients
Sanctions against Victor DeLaet and Stanly Gitzel to be determined
Former SEC employees hired by Wall Street firms help their new employers to influence regulator and blunt enforcement actions, POGO argues
National regulators acting in their own interests threaten to undo decades of cross-border co-operation
The goal is strengthen and reinforce oversight of mortgage insurers
Ex RBC Wealth Management employee admits to forging the signatures of two clients on a financial planning agreement
Firm settles with regulator over its role in the collapse of the non-bank ABCP market
Global regulator publishes nine principles on how to enhance supervision of firms that hold client assets
Amendments detail the general obligations for dealers and reps to assess suitability of client leverage
CSA calls on securities industry to participate
The CSA will be proposing rule amendments to prohibit EMDs from providing brokerage services
Four new commissioners to serve two-year terms
Revisions respond to changes in registration rules
Regulator spells out expectations on product due diligence, conflict assessment and suitability
CTFC says misconduct involved more than a dozen traders in multiple offices around the world
Regulator imposes conditions on another exempt market dealer, Trafalgar Associates
The carrying brokerage is in the process of closing down its business in Canada
Respondents ordered to pay $300,000 each in penalties, disgorge profits
NSSC’s Sarah Bradley appoint new vice chairwoman
Back office firm is in the process of winding up its business in Canada
Firm fined $10,000 for late filing of reports
U.S. regulator giving US$1.12 million in grants to libraries to fund education programs
Regulator proposes to revoke exemption which allow firms to trade in the exempt market with registering
Regulator alleges firm has been operating with a capital deficiency
Paul Donald’s conduct “contrary to the public interest”