Regulation

OSC bans, fines First Leaside duo

October 29, 2015 James Langton

IIROC debt market regulation fee model takes effect Nov. 1

October 29, 2015 James Langton

Ontario to introduce OM exemption

October 29, 2015 James Langton

Euro area banks move toward a “more traditional banking model”

October 29, 2015 James Langton

Goldman to pay US$50M for not supervising banker

October 29, 2015 James Langton

OSC hikes whistleblower payout limit to $5 million

October 28, 2015 James Langton

FINRA orders US$18M in restitution for overcharged clients

October 28, 2015 James Langton

Assante fined $400K for failing to supervise branch properly

October 27, 2015 James Langton

Contingency fund needed to cover investors’ losses, some argue

October 27, 2015 James Langton

FINRA warns investors about the risks of trading in “binary options”

October 27, 2015 James Langton

DBRS to pay US$6 million to settle SEC charges

October 27, 2015 James Langton

Australian equity markets not adversely affected by current levels of HFT, dark liquidity

October 27, 2015 James Langton