The primary whistleblower in the case will receive more than US$4 million while the two others will split more than US$3 million
The first phase of a three-part research project on the impact of CRM2 finds that many don’t know how advisors are paid or the types of fees they pay
A new report on a roundtable discussion notes participants in the session agreed regulators should establish minimum standards for risk assessments
A new Desjardins report suggests that the record level of foreign purchases of Canadian securities demonstrates positive sentiment is back
The deal follows a pair of multi-billion dollar settlements between the DoJ and Deutsche Bank and Credit Suisse earlier this week related to RMBS
Although corporate liquidity is better than it was in early 2017, the index remains below its long-term average, the credit-rating agency reports
Christopher Giancarlo replaces outgoing chairman, Timothy Massad, who resigned as Donald Trump was inaugurated as U.S. president
The small investment dealer, which is selling most of its business to Hampton Securities, must cease dealing with the public as of Jan. 23
Most issuers identify cybersecurity as a material risk, but few provide specific insight into their vulnerability to cybersecurity incidents, the CSA finds
The new rules are part of Canada’s effort to meet its G20 commitments to reform global OTC derivatives markets following the global financial crisis