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
The U.K.’s Serious Fraud Office other cases involving alleged LIBOR manipulation have resulted in one conviction by a jury and six acquittals
The TSX is looking to looking to alter its market-making program while Liquidnet Canada proposes to expand its order flows
The potential new law would be a modern day version of the Glass-Steagall Act, which was adopted following the great crash of 1929
The shift to passive strategies has added competitive pressure to active managers, which has been further exacerbated by regulatory changes, Fitch report suggests
Exchanges are running sustainability events, making their own commitments to sustainability and offering more ESG products
It was reasonable to use two different panels to conduct the merits and sanctions hearings, the court found