Existing market infrastructure firms that handle clearing and settlement would likely continue to serve these functions
New StatsCan study finds RESPs are more concentrated in families with higher income, greater wealth and higher levels of parental education
Securities firms, asset managers, and finance companies, would be “adversely affected” by higher-than-anticipated increases in U.S. interest rates
Mark Steven Rotstein and his firm, Equilibrium Partners, admitted in OSC proceedings to trading without registration on behalf of clients
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