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
2014 annual report highlights success in collecting enforcement penalties
New rules aim to expand framework to prevent market abuse to new products, trading venues, and trading strategies
Recommendations would enhance fairness, stability, and transparency
Org chart outlines key groups that drive financial services in Canada and how they work together
Regulators and industry differ over the key risks facing securities markets
At meeting in Madrid, the board discussed progress on a number of initiatives
The group of global securities regulators is surveying stakeholders for their views
Report highlights issues where regulators should consider whether their current practices are adequate to oversee and mitigate risk