Regulation

IIROC reduces quiet periods for research analysts

September 24, 2015 James Langton

CSA guidance on robo-advisors focuses on human involvement

September 24, 2015 James Langton
Rise of robo-advisors in mortgage business could have an impact

CSA makes changes to rights offering exemption

September 24, 2015 James Langton

FINRA issues alert about smart beta index funds

September 23, 2015 James Langton

Nova Scotia bans former mutual fund rep

September 23, 2015 James Langton

SEC settles with R.T. Jones over cybersecurity breach

September 23, 2015 James Langton

AMF warns investors about A&L Royal Finance

September 22, 2015 Tessie Sanci

New York regulator issues first license for virtual currency to Circle Internet Financial

September 22, 2015 Michael Virtanen

SEC proposes rule reforms for U.S. mutual funds and ETFs

September 22, 2015 James Langton

Despite decline in enforcement activity, U.S. state regulators remain busy

September 22, 2015 James Langton

CSI to remain IIROC’s sole provider of proficiency education until 2020

September 22, 2015 James Langton

Women representation on boards still very low, but growing

September 22, 2015 James Langton