Regulatory action is critical for the industry to achieve its goal of a two-day settlement cycle by third quarter 2017
There is a consensus that the Canadian securities industry will be able to make a smooth transition to T+2 once a date has been set
Deal relating to mortgage-backed securities was originally rejected by U.S. judge
IOSCO begins monitoring standards for payment, clearing and settlement systems
U.S. insurance brokerage firm has implemented anti-corruption program
Self-regulatory organization must undergo review of policies and procedures
Firm and two reps allegedly violated UMIR between April 2006 and June 2007
Investors were deprived of fundamental protections, panel finds
Disenhouse sold $730,000 in securities not approved by his firm
Mueller and Jinnah ordered to pay US$75,000 and US$50,000, respectively