Regulation

SEC’s Office of the Investor Advocate places SROs under scrutiny

October 16, 2015 James Langton

SEC publishes private funds statistics report

October 16, 2015 James Langton

FCA bans former UBS trader

October 16, 2015 James Langton

FINRA proposes rules addressing financial exploitation of seniors

October 16, 2015 James Langton

OSC to report on exempt market deals

October 16, 2015 James Langton

Former rep banned, fined $50,000

October 15, 2015 IE Staff

U.K. widens scope of senior manager personal responsibility principle

October 15, 2015 James Langton

BCSC alleges man breached settlement order

October 14, 2015 James Langton

Report finds little impact of HFT on venture market

October 14, 2015 James Langton

UBS to pay US$19.5M to settle SEC charges

October 14, 2015 James Langton

U.S. regulators approve new rule to enhance OTC equities transparency

October 8, 2015 James Langton

OSC Dialogue: Disclosure not enough to protect investors

October 8, 2015 James Langton