Regulations and soft markets are constraining small firms.
A hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, between IIROC staff and Steven Frank Carinci.
Increased insurance regulation is putting significant pressure on the industry, according to the Insurance Banana Skins survey.
The Investment Industry Regulatory Organization of Canada (IIROC) today issued final guidance on the management and execution of stop loss orders to protect market integrity.
Despite the resurgence of global wealth to nearly pre-2008 levels, the wealth management industry is facing significant margin pressure caused by stringent and costly regulatory requirements, uneven growth across geographic markets, loss of certain types of fees and subdued client activity, according to a report from PwC.
The OSC wants faster dispute resolution.
On May 14, 2013, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Guy François Brunet.
Nasdaq OMX Group is ramping up its monitoring of its U.S. exchanges.
The Alberta Securities Commission (ASC) has sanctioned a two Calgary-based men.
Royal Bank of Scotland has hired a former regulator to head up its compliance department, reports the Financial Times.