Regulation

OSC seeks comment on proposed changes to trade repositories rule

November 5, 2015 James Langton

IIROC proposes amendments to membership disclosure rules

November 5, 2015 James Langton

Provinces publish crowdfunding exemption

November 5, 2015 James Langton
ASC adopts crowdfunding rule

Ontario regulators should be merged: report

November 5, 2015 James Langton

Deutsche Bank to pay US$258 million for violating U.S. sanctions

November 4, 2015 The Associated Press

Advisor fined, prohibited from “securities-related business” for three years

November 4, 2015 Tessie Sanci

Ontario appeal court refuses to hear Alboini penalty appeal

November 4, 2015 James Langton

Cyber extortion attempts against financial firms are on the rise

November 4, 2015 James Langton

Client’s personality plays a role in investment process

November 3, 2015 Fiona Collie

FSB updates list of banks “too big to fail”

November 3, 2015 James Langton

MFDA IPC pays out $7 million in WHS claims

November 3, 2015 James Langton

ASC proposes changes to fee schedule

November 2, 2015 James Langton