Dealers should maintain an updated list of advisors who work from home, which a department of the SRO could use as it plans compliance exams
Insurers have significantly expanded their governance, oversight and investments in cybersecurity, a new Moody’s report finds
The proposal would replace the CSA’s existing system for investigating possible market misconduct cases utilizing T+1 trading data
The sovereigns most at risk include countries with close economic and financial ties to the U.S., such as Canada, Germany and China, among others
The measures will mean cost savings for dealers and relief for investors in the province
The statement comes in the wake of a U.S. district court decision striking down an industry-led legal challenge against the DOL’s fiduciary rule
The notice is part of regulators’ ongoing efforts at enhancing regulation of over-the-counter derivatives markets
Although Moody’s reports there were 10 defaults in January, the global speculative-grade default rate should fall to 3% by the end of this year
Active management will remain a viable and attractive business thanks to a combination of factors, a new Greenwich Associates report predicts
The guidance aims to make companies more aware of the importance of providing high-quality ESG information and engaging investors