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
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