Regulators have warned investors repeatedly against trading in these instruments, which are often likened more to gambling than investing
The FCA’s and PRA’s changes are designed to enhance transparency for firms and individuals under investigation
A new notice from the MFDA suggests the issue is prevalent and outlines the measure firms and reps should take to deal with it
The Investor Stewardship Group unveils initiative focused on U.S. institutional investor stewardship and corporate governance
The whistleblower program may need bigger payouts
Canadian banks are at the forefront of the global drive to use artificial intelligence in both client-facing and back-office operations
The SRO will be able to collect monetary sanctions from securities violators through the province’s Supreme Court without seeking approval in each case
The energy, industrials and financial services sectors are expected to lead the increase in dealmaking, suggests a new report
The new members, who replace those whose terms expired this month, join seven other Bay Street lawyers still serving on the SPAC
The serious failings in Deutsche Bank’s AML controls allowed billions to be transferred from Russia to offshore accounts via the bank