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
OSC mystery shoppers seek “investor experience”
Report says regulators need to take action on issues such as mutual fund fees