Canadian power and utilities companies are showing an appetite for merger and acquisitions to grow and diversify, but are facing increased uncertainty when it comes to pricing the deals due to changing regulatory structures, says a new Ernst & Young report. “Regulatory models are changing in many power and utilities jurisdictions,” says Gerard McInnis, partner […]
If the Autorité des marchés financiers investigates you or your practice, you're obliged to answer all its questions.
Plenty of bad behaviour has dashed our hopes of cancelling "Fraud Friday" this week.
The Canadian Securities Administrators (CSA) announced today the adoption of amendments to National Instrument 41-101 General Prospectus Requirements and Form 41-101F2 Information Required in an Investment Fund Prospectus, which are designed to provide investors with enhanced disclosure about scholarship plans.
U.S. advisors’ compensation levels will increase in 2013, says the 2012 U.S. Asset Management Compensation Report.
The Canadian Securities Administrators (CSA) today published for comment amendments to CSA National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, which would require all registered dealers and advisers, outside of Québec, to use the Ombudsman for Banking Services and Investments (OBSI) as the common dispute resolution service (DRS) for the securities industry. “Mandating […]
Learn how to stay out of trouble.
The Financial Times reports that Hong Kong’s Securities and Futures Commission wants new rules that would make investment banks criminally responsible for misrepresentations made by firms they help go public.
Regulators see ETFs as interlopers in the investment world. But this is now changing.
The CSA requests comment on the two new model provincial rules regarding the trade and reporting of derivatives.