Sentence follows a recent conviction and ruling in a separate, criminal matter
Securities regulators in Canada and the U.S. are planning a coordinated study
TMX Group argues that domestic clearing firms are subject to prescriptive requirements while some foreign players are granted exemptions from these requirements
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