Collecting data centrally would provide regulators and the public with better and more timely information on OTC derivatives
Fraud trial is expected to last more than six months
IIROC panel says rep recommended a structured product without fully understanding it
Leede Financial rep guaranteed a client account and placed discretionary trades
Three sessions scheduled for February
Therese Vaughan, CEO of the U.S. National Association of Insurance Commissioners, appointed to two-year term
A U.S. government report says regulators could improve their oversight of analyst conflicts of interest
Illegal distribution of securities raised $110 million
U.S. regulator proposes limits on proprietary trading and investments in private equity and hedge funds
IIROC panel imposes one-year ban
Implementation of the current form of disclosure on trade confirmations has presented ongoing challenges for some firms
Financial Stability Board says it supports the policy measures that have been taken so far to address the crisis
Regulator alleges consultant to Baffinland Iron Mines tipped friend on details of negotiations with ArcelorMittal
When agreeing to guarantee the price of a trade to a client, firms must provide written notice to IIROC
Liquidity coverage ratio on banks to be introduced as a minimum standard in 2015
The proposed restrictions could hinder the risk management practices of foreign banks, and hurt the liquidity of certain markets
IIROC panel finds two Canaccord Genuity reps solicited investments in a private placement without the knowledge of their firm
Proposed rules relate to rule interpretation and principles of conduct
U.S. regulator issues warnings on social media
Basi fined $100,000
Harding suspended for making unauthorized purchases and recommending unsuitable transactions
An OSC panel imposed only $250,000 in costs, far less than the $1.5 million commission staff sought
The agreement is intended to bolster market oversight by helping the regulators share information
The question now is where regulation goes from here