Interconnected global markets and the aftermath of the financial crisis make the current regulatory environment necessary, OSC chief says
Among various decisions, the CSA's ruling on CRM2 deadlines is getting the most attention
Among the issues facing the rule-makers are creation of the CCMR and implementation of CRM2 reforms
The past 12 months included a wide range of significant changes, from implementing CRM2, to fresh steps toward a national regulator
Regulators are thinking beyond simply improving disclosure
Audio recordings now available
IOSCO seeks feedback on principles to safeguard assets held in “collective investments schemes”
Proposed federal legislation focuses on systemic risk
Although the retail investment business has evolved dramatically over the past 25 years, the regulators that oversee it have struggled mightily to keep up. The firms that cater to retail investors – and the products and services those firms pitch – have changed radically since 1989. And although the regulatory landscape also has shifted plenty, […]
IIAC’s Ian Russell reports on a recent meeting of global regulators and industry players