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Judge gavel, scales of justice and law books in court

Sentence follows a recent conviction and ruling in a separate, criminal matter

  • By: IE Staff
  • January 11, 2019 January 11, 2019
  • 10:31
compliance puzzle

Securities regulators in Canada and the U.S. are planning a coordinated study

Stacked white books on rules and regulations

TMX Group argues that domestic clearing firms are subject to prescriptive requirements while some foreign players are granted exemptions from these requirements

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