Tribunal to consider settlement with Liquidnet over allegedly faulty controls
With Wealthsimple, Questrade and other potential entrants in Canada, industry observers are concerned about possible risks
SRO drops mandatory close-out proposal, adds new conduct-based approach
SRO issues revisions to gatekeeper, trading supervision obligations
IPC upholds OSC decision to preserve privacy of dealers in failed trade study
Trading engine upgrade not matched by surveillance
It's the second firm in Canada to receive approval to offer futures and forecast contracts
Regulator seeks to limit brokers' OTC requirements to equities
Enforcement action targets weaknesses in AML controls, compliance
Regulator to reconsider diversification requirements for listed funds