Consultation paper sets out proposed processes and analytical approaches for evaluating the effects of the reforms
FCA publishes proposed guidance on “streamlined” advice for clients
The brokerage firm admitted to violating the trading rules by failing to properly supervise a direct access client
Regulators are creating a risk-based capital standard for global insurers, but there’s no deadline for the adoption of a capital standard
Nova Scotia’s provincial regulator is alerting the public that at least two investors in the province have lost money as a result of dealing with Magnum Options
The guidelines have also been revised to include sections relating to systemic supervisory failures, borrowing and lending arrangements and short interest reporting
The enforcement action is in connection with investment schemes that involved companies paying for deceptive, promotional articles touting their stocks
The group is also recommending various ways to help reduce the burden of complying with AML rules in a letter to Finance Canada
Growth demonstrates increasing demand among individual and institutional investors, report says
The proxy advisory firm is recommending shareholders to dump 12 of the 15 members of the board as a result of the recent scandal at the bank