Banks’ access to easily sellable assets aren’t up to snuff under new liquidity rules.
Not all relationships are treated equally
What you need to know to meet the next round of requirements
CSA’s market research proposal sparks privacy concerns
The North American Securities Administrators Association (NASAA) announced today that it has convened a working group consisting of state securities regulators and representatives of Financial Industry Regulatory Authority (FINRA), the Securities Industry and Financial Markets Association (SIFMA) and the Financial Services Institute (FSI) to develop improved broker-dealer fee disclosure.
The CSA is moving ahead with plans for a harmonized regulatory approach to takeover bids.
Since March 2013, IIROC’s issued about $5.3 million in fines.
IIROC's appointed Andrew J. Kriegler its new president and CEO, effective November 1, 2014.
Online portfolio managers, or what many call robo-advisors, have seen wild success south of the border. And they're headed north.
FINRA has fined Citigroup Global Markets Inc. $1.85 million for failing to provide best execution in approximately 22,000 customer transactions involving non-convertible preferred securities, and for related supervisory deficiencies for more than three years. FINRA also ordered Citigroup to pay more than $638,000 in restitution, plus interest, to affected customers.