European policymakers seek to set new prudential requirements for investment firms.
A $16.5-million disgorgement order against two First Leaside executives was upheld
He will continue to manage the Canadian equity and dividend fund portfolios for the company’s mutual funds and guaranteed investment funds
U.S. banking regulators adopt new rule
The credit quality of Canadian covered bond programs will be strong in the new year
Regulators publish conclusions on automation in financial advice
Discussion paper asks whether the existing regulatory framework is sufficiently flexible, has gaps which need to be filled and how it impacts the use of big data technologies
The investor advocacy group is calling on U.K. regulators to clarify and enforce existing disclosure requirements for online advisory firms
The regulator is starting its review with a sample of boards from federally regulated financial firms of different sizes and business models
For firms regulated under securities law, among others, fees are going up by 0.74%