The U.S. Securities and Exchange Commission today announced that early results from the Penny Quoting Pilot program show lowered trading costs for retail trades. An…
Financial Institutions Group – Deposit Taking Institutions challenged by risk focused supervisory methodology
Bonds provide benefits, but raise concerns, regulator says
Firms fined over US$1.2 million
Measure intended to reverse trend of overseas exchanges recruiting U.S. IPOs
Centre aims to foster growth of derivatives industry in Quebec
Regulator also suspends former director of research; Files complaint against analyst
MFS Investment Management’s Pozen to chair committee
Exchange stands by its finding of unsuitability
Division would split fee-based advisors as “independent”
Regulations to come into effect in two stages
GLG Partners LP, a hedge fund firm that announced plans to go public yesterday, today agreed to settle with the U.S. Securities and Exchange Commission.The…
Anderson fined $250,000 for securities fraud
Will pay US$2 million penalty; $US19 million in disgorgement
Appeals would be directed to securities commissions or courts
Regulator issues temporary order
Ministers to examine separating adjudicative and regulatory functions
New deadline is July
Smith defends passport model
Discussion paper now online
Regulator also orders firm to identify and pay restitution to 1,300 customers
Montreal rep permanently banned from approval for failing to cooperate
Police allege Lewis concealed trading losses and stole investors’ capital