IIROC will focus on firms that have high order-to-trade ratios to determine if firms should be flagged, said Victoria Pinnington, the SRO's VP for trading review and analysis.
Canada will keep its exchange. So said panelists at the Canadian Equity Market conference, presented by Ontario Securities Commission and IIROC in Toronto today.
Regulators are looking at rules for best execution, say presenters at the Canadian Equity Market conference, presented by Ontario Securities Commission and IIROC in Toronto today.
Advisors will find themselves across the table from some disappointed clients while the economy shakes itself out, economist Don Drummond told an Investment Industry Association of Canada board luncheon this week.
Risky trading practices that caused huge losses for J.P. Morgan went undetected by U.S. regulators, sparking Congressional hearings at which SEC officials have been taken to task and one top official admitted some red flags went unheeded.
Vikram Barhat, Advisor.ca’s king of luxe, was in excellent spirits today. Or, should we say, he got into some excellent spirits.
Macquarie Private Wealth is out in front of its plans to establish a strong presence in the Canadian market.
Four major players will be paying fines totalling $9.1 million to U.S. self-regulator FINRA over use of inverse, leveraged, and other unusual ETFs and related products.
Canada’s banking regulators are putting the screws to lending practices they see as risky—particularly in the bubble condo markets that are forming in Toronto and Vancouver. And that's a good thing.
From the time it became eligible to collect monetary sanctions against industry wrongdoers in 2005, the Ontario Securities Commission has collected less than half of what’s due, according to a report issued by the regulator today.