Aequitas Neo Exchange Inc. has been recognized by the Ontario Securities Commission.
IIROC has issued final guidance and rule amendments to ensure consistent regulatory oversight of Order Execution Service accounts when third parties access marketplaces electronically.
The Canadian Securities Administrators (CSA) recently announced final "comply or explain" disclosure requirements regarding the representation of women on boards and in executive officer positions. While some companies may report because they're asked to, compliance shouldn't be the only reason they want to make diversity more of a focus in their human capital agenda, according to an EY report.
Advisors can’t fight regulatory change.
Alayne Fleischmann, witness in the case against JPMorgan Chase, says banks are getting away with too much.
An MFDA hearing panel has issued a Reasons for Decision document in connection with disciplinary hearings in Alberta in the matter of Murray Arnold Greenberg, and Katrina Anne Powell, a former branch manager.
OSC may approve a no admit, no deny settlement regarding allegedly overcharged client accounts.
EY's Fraud Investigation and Dispute Services group has issued a warning.
Prior to a regulatory hearing, and without an adjudication of any issue, the Financial Industry Regulatory Authority (FINRA) accepted a letter of Acceptance, Waiver and Consent (AWC) submitted by Robert Head, a former General Securities Representative.
The Canadian Securities Administrators have released a sample Fund Facts document to help investors understand their mutual funds.