Operators of the long-running investment program failed to tell investors how the money was being used or at what risk
The SRO has launched a second consultation on the proposals, which may have “significant impacts” on the investment industry
The Joint Forum of Financial Market Regulators discussed a variety of high-priority regulatory issues
The lawyers will join the OSC’s advisory committee on the operation of its in-house tribunal
The big issue is the fate of the proposed Co-operative Capital Markets Regulator. But other issues will contribute in making 2018 a confusing year
Whether Canadian securities dealers can establish a global model of payment for research will depend on U.S. regulatory accommodation to MiFID II
FINRA requires reporting of secondary-market transactions in Treasury securities
The Quebec regulator’s new strategic plan points out that factors such as fintech and intensifying competition in financial services will guide its work
Regulators must have the courage to foster a responsive regulatory climate while protecting investors
Regulators are focused on strengthening market resilience