Home James Langton

CSA provides compliance flexibility

Guidance aims to allow more tailored setups for compliance officers

  • July 2, 2020 July 2, 2020
  • 13:08

Helping out harmed investors

NASAA aids states in developing victim assistance funds

  • July 2, 2020 July 2, 2020
  • 13:06

Fund dealer settles complaints-handling case

Firm has compensated clients, enhanced compliance

  • July 2, 2020 July 2, 2020
  • 10:16

Global equity markets see first-half surge

Strong secondary offering activity outpaced a weak IPO market

  • June 30, 2020 June 30, 2020
  • 17:26

Global debt markets see record action in 2020

Debt issuance surges as the economy crumbles

  • June 30, 2020 June 30, 2020
  • 17:05

Alberta downgraded to AA- by Fitch

Pandemic pressure on provincial finances drives the shift

  • June 30, 2020 June 30, 2020
  • 16:16

Court orders probation for trading ban violation

Woman pleaded guilty to violating BCSC prohibition

  • June 30, 2020 June 30, 2020
  • 15:59

Industry applauds, investors lament new “best interest” standards

Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct

  • June 30, 2020 June 30, 2020
  • 15:03

Crypto trading gaining popularity

FCA research finds sharp jump in consumers trading cryptoassets

  • June 30, 2020 June 30, 2020
  • 13:35

Ex-OSC chair joins FINRA board

Maureen Jensen will serve as a public governor for the U.S. SRO

  • June 30, 2020 June 30, 2020
  • 13:26