The dispute-resolution service says in its new strategic plan that it wants to implement a new approach to enforcing compensation recommendations
New StatsCan data show that Canadian investors reduced their holdings in U.S. treasuries by $3.7 billion and in U.S. equities by $5 billion
Credit Suisse has agreed to pay US$5.28 billion for its conduct leading up to the financial crisis a day after Deutsche Bank reached a similar settlement
The firm has agreed to pay a US$1.5-million penalty for failing to disclose benefits it paid on behalf of its former CEO, Miles Nadal
The SRO’s report provides an overview of the technology, highlights its possible applications, and regulatory considerations for broker-dealers
The deal would see BATS merge with the CBOE and become a wholly owned subsidiary of CBOE Holdings
The bank’s research arm will be opening a new lab in Edmonton as part of an initiative to work with the UofA’s Alberta Machine Intelligence Institute
A new survey from TD points out that providing financial support to adult children is preventing boomers from saving enough for retirement
The regulatory roundtable, which takes place on Feb. 27 at the OSC’s offices, will examine how the industry would respond to such incidents
Variable compensation will be restricted severely in 2016 in the wake of a US$7.2-billion settlement with the U.S. Department of Justice