Proposal would require firms to create programs to spot the signs of identity theft
Independent and mutually reinforcing controls help mitigate risk
Bond pricing allowed Credit Suisse to achieve fictional profits
Four firms charged for extending market access without registering as brokers
The biggest settlement reached during the year was for US$310 million with two Alberta men
Diamondback agrees to pay US$9 million
Awareness must be heightened after an advisor in the U.S. is alleged to have used social media to sell fraudulent securities
Regulator seeks input on investor disclosure issues
A U.S. government report says regulators could improve their oversight of analyst conflicts of interest
Regulator believes ruling harms investors by depriving them of “substantial, certain and immediate benefits”