Regulation

SEC proposes rules to enhance order handling information available to investors

July 13, 2016 James Langton

New Zealand proposals would restrict use of financial advisor title

July 13, 2016 James Langton

Basel Committee publishes revisions to the securitization framework

July 11, 2016 James Langton

New CSA three-year business plan released

July 7, 2016 Patricia Chisholm

CSA proposes changes to custody requirements

July 7, 2016 IE Staff

CSA seeks input on proposed derivatives framework

July 7, 2016 IE Staff

CSA highlights business plan achievements

July 6, 2016 IE Staff
RBC predicts healthier growth for Canada this year

Regulators issue guidance on possible mail service disruption

July 4, 2016 IE Staff
Segment your email subscriber list

OSC seeks comment on proposed rule for distributions outside Canada

July 4, 2016 IE Staff
Advocis encouraging advisors, clients to oppose commissions ban

MFDA proposes minimum proficiency standards for reps to sell ETFs

June 30, 2016 James Langton

Quebec regulators to reciprocate other jurisdictions’ enforcement sanctions

June 30, 2016 James Langton

Fed puts U.S. banks under scrutiny

June 29, 2016 James Langton