(January 28, 2005) Look on the bright side. Sure, the new Trade Reporting and Electronic Audit Trail Standards (TREATS) requirements that take effect in two years mean firms will have to send more data to regulators. But they’ll also make on-site audits less burdensome. “It will allow RS to do more work internally,” said Maureen […]
(November 1, 2004) The Ontario Securities Commission (OSC) has a close eye on American and British rulemaking efforts to deal with fallout from the late-trading and market-timing scandals that afflicted the mutual fund industry last year. The Commission is also reviewing IFIC comments proposing better internal controls, the use of watch lists and enhanced focus […]