Home Securities regulations

Keyword: Securities regulations

419 results found
Downtown Calgary with River skyline`

Operators of the long-running investment program failed to tell investors how the money was being used or at what risk

People Working Finance Stock Exchange ConceptPeople Working Finance Stock Exchange Concept

The SRO has launched a second consultation on the proposals, which may have “significant impacts” on the investment industry

law regulations paper flat illustration

The Joint Forum of Financial Market Regulators discussed a variety of high-priority regulatory issues

law regulations paper flat illustration

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

Financial services firms contribute to new fund to promote inclusiveness

The Quebec regulator’s new strategic plan points out that factors such as fintech and intensifying competition in financial services will guide its work

Adoption of big regulatory changes must avoid unintentional harm

Regulators must have the courage to foster a responsive regulatory climate while protecting investors

Regulators are focused on strengthening market resilience