There is little in the way of protection for consumers
Court rejects motion seeking leave to appeal certification
The former head of the UK Financial Services Authority has been on sick leave since the beginning of October
Newly combined company operates 16 global exchanges and five central clearing houses
For Canada, the jobless rate fell for the second straight month
Regulator maintains that syndicated mortgages are securities; reps must put this business through their fund dealers
As the financial services business increasingly migrates to the online world, the industry’s appeal as a target for hackers and cybercriminals grows, too. As a result, regulators are pushing firms to pay closer attention to their increasing vulnerability. Earlier this year, global securities regulators — the International Organization of Securities Commissions (IOSCO), along with the […]
Aequitas survey finds unease with HFT
An investment firm that championed fundamental indexing in Canada is now seeking to sell its fund business amid a cloud of regulatory uncertainty.