Regulator to review brokerage practices for addressing conflicts of interest
Consideration by hearing panel of guidance note on inverse ETFs “inappropriate”, OSC rules
New policy to limit disclosure of personal information in enforcement proceedings
The investment industry is concerned about new IIROC proposals to dampen the draw of trading in U.S. dark pools
Dealers winding up their businesses would get a break on fees
Revised guidance aims to help reduce short-term, unexplained price volatility
Third annual enforcement report outlines key enforcement activities
The vast majority of exemptions concerned proficiency requirements
Two-year suspension stands
Margin requirements for agency cash and security borrowing and lending arrangements modified