National and provincial regulators will have more to deal with in 2012 than they’ve had in quite some time
Interest in no contest settlements prompts regulator to hold public hearing in the new year
As the Ontario Securities Commission looks to introduce “no contest” settlement agreements in a bid to improve its enforcement performance, this type of settlement is coming under fresh fire in the U.S., where it’s already well established.
Wetston says the OSC is keeping a close watch on the changes wrought by globalization, technological advancement and product innovation
Staffing costs are driving most increases
Global and domestic regulators are struggling to develop a framework of rules to govern electronic trading
Has the trading world evolved beyond its regulatory regime?
More study necessary on the risks of high frequency trading, CESR says
Canadian regulators looking for cost effective framework for regulating short sales