Principles-based regulation is under fire internationally. Rules are back in
Countries need to work together to ensure consistent global regulation
Firm to pay $125,000 civil penalty for violating fair dealing, gifts and gratuities and supervisory rules
The report identifies three areas in which IOSCO is proposing principles to address the issues raised by the growth of DEA
Current head of New York Stock Exchange Regulation will retain post as FINRA chairman as well
Ontario’s securities regulator is more closely monitoring continuous disclosure filings, among other measures
Prohibition of conduct in securities-related business is also part of the penalty issued on Thursday
The council stresses that the CSA plans to implement the national registration rule this year
The new members were chosen based on their capital markets and the development of their regulatory systems
Much more cooperation among world securities regulators