Regulation

IIROC extends comment period for guidance on OEO firms

January 16, 2017 James Langton
Canada’s robo-advisor market to see robust growth

MFDA seeking feedback on proposed new CE requirements

January 13, 2017 James Langton

Regulators cite concerns with issuers’ structuring of exempt-rights offerings

January 12, 2017 James Langton

FSB’s new policy proposals target systemic risks in asset management

January 12, 2017 James Langton

ESMA pleas for greater intervention powers over fund managers

January 12, 2017 James Langton

SEC sets new focus on robo-advisors and electronic advice

January 12, 2017 James Langton

MFDA fines former advisor $950,000

January 12, 2017 Tessie Sanci

Former OSC executive joins the regulator’s SAC

January 12, 2017 James Langton

Potential implications of the CSA’s alternative funds proposal

January 12, 2017 Dan Richards, Lynn McGrade
Potential implications of the CSA’s alternative funds proposal

Cypriot binary options firm to surrender its registration

January 12, 2017 James Langton

OSC charges convicted Ontario man with more alleged trading violations

January 11, 2017 James Langton

SEC warns investors of excessive trading in their brokerage accounts

January 10, 2017 James Langton