Exemptions not available, regulator says
European financial institutions a notable exception
Four agencies have qualified as Canadian-domiciled central counterparties
SMEC chaired by OSC’s Jo-Anne Matear
As of August 2, firms that are registered by CSA will be required to use OBSI to resolve client complaints
The UK active international equity specialist has US$9.8 billion in AUM
Frank Speight faces five years in prison for stealing US$3.3 million from investors
Citigroup unit LavaFlow settles without admitting or denying SEC’s findings
The introduction of price volatility is expected to lead to more conservative investment behavior from fund managers
New accounting standard due to take effect Jan. 1 2018