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Home Securities regulations

Keyword: Securities regulations

419 results found
Downtown Calgary with River skyline`

Lutheran Church accused of securities violations in failed housing investment

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

IIROC inches closer to introducing client identifiers on trades

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

law regulations paper flat illustration

Financial regulators meet in Montreal

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

law regulations paper flat illustration

OSC names fives new members to its SPAC

The lawyers will join the OSC’s advisory committee on the operation of its in-house tribunal

The regulatory conundrum

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

MiFID II represents a challenge for Canadian dealers

Whether Canadian securities dealers can establish a global model of payment for research will depend on U.S. regulatory accommodation to MiFID II

U.S. boosts scrutiny of Treasury markets

FINRA requires reporting of secondary-market transactions in Treasury securities

Financial services firms contribute to new fund to promote inclusiveness

AMF to focus on OTC derivatives market and insurance compensation

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

Paper sets out OSC’s approach to regulatory policy

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

IOSCO conference opens in Jamaica

Regulators are focused on strengthening market resilience