Regulation

Best interest standard takes centre stage at OSC roundtable session

December 7, 2016 James Langton
FAIR Canada not in favour of regulators’ stance on best interest standard

Court rejects appeals in high-profile insider-trading case

December 6, 2016 James Langton
Court rules in favour of labour-sponsored venture fund against fund manager

FCA proposes stricter rules for contract for difference products

December 6, 2016 James Langton

Seniors at risk of investment scams, FCA research finds

December 5, 2016 James Langton

SEC rewards securities industry whistleblower a US$3.5-million award

December 5, 2016 James Langton

U.S. CFTC proposes new capital requirements for swap dealers

December 2, 2016 James Langton

U.S. regulators to consider fintech firms’ special banking applications

December 2, 2016 James Langton

MFDA appoints new directors to its board

December 2, 2016 James Langton
BMO GAM’s Ross Kappele elected IFIC chairman

OSC names new members to its Registrant Advisory Committee

December 2, 2016 James Langton
FPSC makes changes to its board of directors

IIROC extends comment period on OEO proposal

December 2, 2016 James Langton
Advocis encouraging advisors, clients to oppose commissions ban

New Zealand enters new era in financial regulation

December 1, 2016 James Langton

IIROC proposes fee model for corporate debt securities data

December 1, 2016 James Langton
Ottawa considers issuing ultra-long bonds