Regulation

FINRA orders US$18M in restitution for overcharged clients

October 28, 2015 James Langton

Assante fined $400K for failing to supervise branch properly

October 27, 2015 James Langton

Contingency fund needed to cover investors’ losses, some argue

October 27, 2015 James Langton

FINRA warns investors about the risks of trading in “binary options”

October 27, 2015 James Langton

DBRS to pay US$6 million to settle SEC charges

October 27, 2015 James Langton

Australian equity markets not adversely affected by current levels of HFT, dark liquidity

October 27, 2015 James Langton

OSC to introduce whistleblower policy on Wednesday

October 26, 2015 James Langton

OSC bans woman for illegal distributions, unregistered trading

October 23, 2015 James Langton

BoE’s revised stress testing of banks may curb systemic risk

October 23, 2015 James Langton

U.S. authorities drop insider trading case against portfolio manager

October 23, 2015 James Langton

Former fund rep agrees to delay registration application

October 22, 2015 James Langton

Alberta man sentenced for multiple breaches of securities laws

October 22, 2015 IE Staff