The U.S. Commodity Futures Trading Commission announced Tuesday that it has published new rules strengthening its oversight of one of biggest trouble spots under its…
Public is confused about the distinction between investment advisors and broker-delears
Reviews focus on new products and principal-protected notes
Seven-member panel to meet in September
AdvisorReport online resource launched
Guidance will assist supervisors in applying the core principles
Regulator seeks comment on proposals
Tri-Act, Liquidnet get relief from 45-day filing requirement
New rules require companies to include the nominees of significant, long-term shareholders
Investment dealer failed to make reasonable efforts to connect to the Omega ATS protected marketplace.
Other changes would allow claimants to opt to eliminate arbitrator’s discretion to award costs
Spanish analysts booked profits of nearly US$1.1 million
Financial crisis highlighted need for change
PAC provides advice on regulatory and policy matters
Regulatory breaches include failure to supervise the trading activity
Decision won’t curtail all communications between brokers and clients
Members to consider financial statements, elect directors
Ex-broker must pay $350,000 fine
Working with other countries to develop stronger international capital and liquidity standards in Canada’s interest, Carney says
Haltiner will leave FINMA at the end of the year
Basel Committee assessment finds clear net long term economic benefits
Stronach to receive $1 billion in cash and shares
IIROC orders Lohrisch to pay $67,000 in fines and costs
Firm to pay $125,000 administrative penalty
Controversial deal worth more than $1 billion