Regulation

Cross-border derivatives market oversight moves forward

April 21, 2016 James Langton
Special Reports

MFDA moves closer to having mutual fund reps sell ETFs

April 20, 2016 Tessie Sanci

Manitoba securities investigator randomly contacted by illegal investment firm

April 20, 2016 James Langton

FINRA securities helpline for seniors marks first year

April 20, 2016 James Langton

MFDA disciplinary findings added to lawsuit

April 20, 2016 James Langton
Court rules in favour of labour-sponsored venture fund against fund manager

IAP report calls for action on investor protection

April 20, 2016 James Langton
FAIR Canada not in favour of regulators’ stance on best interest standard

AMF urges caution about peer-to-peer risk sharing platforms

April 20, 2016 James Langton
AMF officials to head major IOSCO committees

FINRA reminds firms about obligations regarding pension income stream products

April 19, 2016 James Langton

U.S. regulator flags asset management risks

April 19, 2016 James Langton

Former CEO of Sino Forest was “controlling mind” behind alleged frauds: lawyer

April 18, 2016 Alexandra Posadzki

FCA cracking down on inducements

April 18, 2016 James Langton

No advantage for U.K. HFTs in real-time, FCA paper finds

April 18, 2016 James Langton