Statistics Canada’s IBSPI aims to measure movements in the prices charged for investment banking services
Robert Shewchuk claimed in a lawsuit that Blackmont Capital did not properly pay him for corporate finance deals he brought to the firm
The proposed rules generally permit approaches based upon existing U.S. bank regulators’ capital requirements.
Fintech firms that are granted these charters from the OCC would have to adhere to standards of safety and soundness as well as fair access
The SRO’s members also approved proposed changes to its rules regarding trading authority and powers of attorney at its AGM
The RAC provides the regulator with feedback on policy from an investment industry perspective
The added time comes in response to requests from the industry seeking additional time to consider and comment on the guidance
An aggregate decline in effective fee rates was driven by the largest managers
Regulators shifting their focus to industry conduct, not simply compliance
The self-regulatory organization is also considering an expansion of the service that would allow it to distribute data for bulk download for a fee