Industry groups sound off on pros and cons of Ontario’s latest financial industry oversight recommendations.
The Canadian Securities Administrators (CSA) has published CSA Staff Notice 23-316 , which lists marketplaces that will be considered unprotected for the purposes of the order protection rule.
Following a penalty hearing held on May 16, 2016 in Toronto, Ontario, a hearing panel of the Investment Industry Regulatory Organization of Canada imposed penalties on Kim Husebye.
In a settlement agreement with the British Columbia Securities Commission, HSBC Investment Funds (Canada) Inc. and HSBC Private Wealth Services (Canada) Inc. have agreed they charged excess fees in some client accounts.
Expect changes to some offshore tax reporting forms and more IRS guidance on how to fill them out
Starting today, all dealers must deliver fund facts to clients before accepting instructions for the purchase of mutual funds.
The scale and influence of the sharing economy is growing, and regulators are paying attention.
And investigators reveal whom they're working with.
Watchdogs focus on suitability, complex products and supervision.
FINRA has fined Raymond James & Associates and Raymond James Financial Services, US$17 million for widespread failures related to the firms’ anti-money laundering programs.