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Keyword: Securities regulations

536 results found
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Regulatory efficiency saves costs and ultimately benefits investors

U.S. regulators settle with firm over unregistered product

Queen's park, Ontario

Cowan replaces Heather Zordel, who resigned last month

  • By: IE Staff
  • November 30, 2022 November 30, 2022
  • 17:13
Horn speaker for public relations sign symbol, vintage color - sun with blue sky

Leadership veterans joining the IIAC's group of advisors include big hitters like Rick Annaert, Steve Donald and Steve Geist

  • By: Katie Keir
  • October 21, 2022 October 21, 2022
  • 14:03

The company failed to file accurate financial statements, the regulator alleges

Row of business people listening to presentation at seminar

Regulators require internal compliance expertise

  • By: Ian Russell
  • September 26, 2022 September 26, 2022
  • 15:00

From leadership restructuring to the creation of a new role, it's a busy start to the fall

  • By: Katie Keir
  • September 22, 2022 September 22, 2022
  • 15:07
Financial stock exchange market display screen board on the street

For greater investor protection, the final exemption imposes primary offering liability

  • By: IE Staff
  • September 8, 2022 September 8, 2022
  • 12:41
Close up of businessman hands making handshake - greeting, dealing, merger and acquisition concepts

Cited risks from collaboration with industry are unfounded, writes Paul Bourque


Morningstar and As You Sow said the category could make ESG fund comparisons more difficult for investors