The ASC concluded fewer investigations in fiscal 2014, but collected more penalties.
The MFDA has published a discussion paper on the use of investor questionnaires to improve the Know-Your-Client (KYC) process.
Following a disciplinary hearing in Edmonton, Alberta, an IIROC hearing panel imposed penalties on a former rep and branch manager.
Yesterday, CSA published the results of its 2014 continuous disclosure reviews.
IIROC questions licensing model.
The Securities and Exchange Commission today charged a group of friends, most of them golfing buddies, who made more than $554,000 of illegal profits from trading on inside information about Massachusetts-based American Superconductor Corporation.
The Investment Industry Regulatory Organization of Canada (IIROC) today published Final Guidance that expands the single-stock circuit breaker (SSCB) program.
The push for a national securities regulator got a boost with the addition of Saskatchewan and New Brunswick, federal finance minister Joe Oliver told BNN.
On June 17, 2014, an IIRIC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and David Hayes.
Since 2009, Swiss banks have been under the microscope of U.S. regulators.