Regulation

Ontario joins streamlined PRPP agreement

May 26, 2017 James Langton

OSC grants relief to Invesco

May 25, 2017 James Langton

New cybersecurity rules for U.S. investment firms, advisors on the way

May 25, 2017 James Langton

IIROC webcast examines automated advice and suitability

May 25, 2017 James Langton

New code of conduct aims to set standards for FX trading

May 25, 2017 James Langton

Paper sets out OSC’s approach to regulatory policy

May 25, 2017 James Langton
Adoption of big regulatory changes must avoid unintentional harm

Ban on embedded commissions could take toll on non-bank dealers

May 23, 2017 James Langton
Echelon Wealth Partners names Joe Oliver as chairman

CFTC bolsters protection for whistleblowers

May 23, 2017 James Langton

FSB issues progress report on preventing financial industry misconduct

May 23, 2017 James Langton

U.S. DOL to implement fiduciary duty on June 9

May 23, 2017 James Langton

IE’s Regulatory Reporter: May 2017

May 19, 2017 Patricia Chisholm
IE’s Regulatory Reporter: April 2017

IIROC proposes revised dealer rules resulting from changes at CCPs

May 18, 2017 James Langton