Industry at odds with CIRO’s proposals on maximum penalties and dispute resolution
Shorter settlement cycle has succeeded in reducing risk, freeing up capital
Trade group calls for tech-neutral, principles-based approach to regulation
CAPSA replaces 2004 guideline, consolidates risk management guidance
Competition and regulation pressuring firms' margins, earnings
Approach to guarding against deposit flight risk remains unsettled
Fund industry warns about risks to investors as portfolio reporting increases
Regulator details anti-greenwashing efforts, anticipates new disclosure demands
Resolving the investigations will mean both monetary and non-monetary penalties, the bank said
The man and his company were not registered to trade securities, BCSC says