Regulation

ESMA finds evidence of closet indexing

February 2, 2016 James Langton

IIROC seeks greater enforcement powers in Ontario

February 1, 2016 James Langton

NASAA members adopt model act to protect seniors and vulnerable adults

February 1, 2016 James Langton

Wall Street firms reach settlement on dark pool violations

February 1, 2016 James Langton

U.S. DOL fiduciary rule at OMB

January 29, 2016 James Langton

MFDA fines firm $4 million for selling fraudulent product

January 29, 2016 James Langton

Toronto hedge fund manager settles with SEC

January 29, 2016 James Langton

BoC raises target for daily settlement balances

January 29, 2016 James Langton

ESMA consults on abusive trading guidelines

January 28, 2016 James Langton

Regulators issue updates on exempt market

January 28, 2016 James Langton
ASC adopts crowdfunding rule

European regulators air cross-selling concerns

January 27, 2016 James Langton

OSC bans convicted fraudster Paul DiNardo

January 26, 2016 James Langton