The Federal Reserve Bank of New York Friday announced the establishment of a investor advisory committee to facilitate policy discussions.The NY Fed’s Investor Advisory Committee…
Number of continuous disclosure reviews up 28% in 2009
Firms lost unencrypted disks containing clients’ private information
Settlement enables ARS customers to receive all of their money back
Court endorses PwC as manager of Sextant funds
Changes give members greater flexibility in designing their compliance systems
Rules come into force on Sept. 28
The U.S. Treasury Thursday introduced draft legislation requiring say on pay votes at public companies, and increased independence for firms' compensation committees.
The U.S. Securities and Exchange Commission has charged 11 individuals who it alleges were involved in separate insider trading schemes ahead of corporate merger announcements,…
Panel decision based on appropriate principles, OSC says
A hearing panel of the Investment Industry Regulatory Organization of Canada has permanently banned a Winnipeg options representative for sharing a financial interest in an…
Regulator seeks comment on survey results
OSC to review decision
The U.S. Securities and Exchange Commission has created a new position to lead its pursuit of diversity in the workplace.The SEC announced that Ronald Crawford…
The International Organization of Securities Commissions’ Technical Committee has published a final report setting out principles designed to guide exchanges, and their regulators, when considering…
The Basel Committee on Banking Supervision has approved a series of measures designed to strengthen the capital adequacy framework for large, global banks.The latest package…
$50 million diverted in a kind of Ponzi scheme, regulator says
But the court has delayed the order for a year to give B.C.’s legislature time to deal with the matter
Investment counsel and portfolio managers, limited market dealers and exchange contracts dealers are among those who will be required to use IFRS
Member confusion has led the MFDA to rescind some amendments to rules concerning businesses names and borrowing for securities purchases
The British regulator’s new rules are designed to allow consumers to see how firms are handling their complaints
Lawrence Ritchie assumes role of executive vice president and senior policy advisor
The province views the federal government’s decision to create a Canadian securities commission as an “encroachment” on its jurisdiction
The regulator is working to enhance the adjudicative case-management process to increase responsiveness and efficiency
Under the new proposals, fines would be linked more closely to the income from the product or business area linked to a breach