Discussion focused on developments in international and U.S. accounting standards
Beneficiaries were victims of Edward Jones’ failure to adequately disclose revenue payments from a select group of mutual fund companies
Agreement provides clear mechanisms for consultation, co-operation and exchange of information between the two agencies
U.S., UK regulators sign protocol for sharing information on application of IFRS
AML source tool designed to assist broker-dealers
One would limit the use of one-, two- and three-character symbols to those listing markets that traditionally used those symbols
Changes would eliminate waste and duplication in compliance
Exchange failed to enforce compliance with securities laws
Radler to pay US$28.7 million
Firm failed to safeguard nonpublic research information and published fraudulent research, regulator says