Mary Schapiro to oversee consulting firm’s governance and markets practice
Chinese businessman and his wife to pay US$3 million
OSC to hear request for trading bans against New Futures Trading and Fernando Fagundes
Fund companies need not report all social media postings
SEC announces historic monetary sanctions against CR Intrinsic and its affiliates
SEC alleges promoters sent investors misleading emails about Pacific Blue Energy and Tradeshow Marketing Co.
Regulator says firm issued misleading quarterly reports and marketing materials for private equity fund
Proposed rules would replace voluntary compliance program with enforceable rules surrounding technology systems
Compliance exams reveal custody-related issues in about one-third of firms
Regulator seeking public input on benefits and costs