The former rep reached a settlement with the regulator, admitting to violating several investment industry rules
Ontario’s main regulator will host a public hearing on the long-running debate over a possible regulatory ban on embedded commissions
Foreign investors buying Canadian securities and Canadians selling foreign equities have resulted in total net inflows of almost $50 billion through April
The bank recapitalization regime would allow authorities to recapitalize a failing bank by converting some of its debt into common shares
The decision brings regulatory proceedings that began against the former theatre impresario and a couple of his associates in 2001 to a close
The U.K. regulator received 77 applications for the second phase of the sandbox from firms seeking to test innovative products and services
The regulator released a video providing advice for senior investors on what to consider when their existing advisor retires
The revised guideline is out for comment until Aug. 4
U.S. broker-dealers reported nearly 2,300 cases of suspected senior-related fraud or exploitation to authorities in 2015
A new report from the OSC finds that exempt-market issuance rose by 9% to a total of $72 billion in 2016 following a 40% gain in 2015