A wide range of comments recommend that the OSC tackle several key priorities, including advisor licensing
Big increase in AUM and productivity
Various factors are putting pressure on credit market liquidity and forthcoming regulatory reforms will likely exacerbate the liquidity problem, Ian Russell suggests
There’s consensus that it’s in clients’ best interests to execute ETF and ETR transactions in the continuous trading session
U.S. regulator is warning investors about fantasy stock trading websites that may violate federal securities laws
U.S. regulator alleges Interinvest and Hans Peter Black funneled client assets into four stocks without disclosing Black’s interest in those companies
The organization is also adopting a new strategic direction focused on reinforcing its position as the centre of global regulatory policy
Increasing preference for investing through pension and insurance means current profitability levels are unlikely to be sustainable
Regulators in emerging and developed markets should consider integrating credible deterrence into their enforcement strategies
The British regulator is seeking input on rules and policies that may be stifling the provision of financial services through digital and mobile