Consider market structure and regulation when discussing HFT.
OSFI has issued the final version of its Liquidity Adequacy Requirements guideline for banks.
CSA has proposed amending rules on prospectus and registration exemptions.
CSA's comments on CRM II have a prominent securities lawyer wondering if regulators are contemplating CRM III.
Ultra-low interest rates limit choices for conservative investors. Sure, they could move into riskier investments they may not be able to stomach, pay a premium to be in a guaranteed product, or simply accept they won’t keep up with inflation. None of those options has mass appeal.
On April 15, 2014, a hearing panel of IIROC accepted a settlement agreement between IIROC staff and Toll Cross Securities Inc. ("TCSI").
IIROC hands down fine over unsuitable recommendations.
The Securities and Exchange Commission has charged a Toronto-based consultant and four associates with conducting illegal reverse merger schemes to bring a pair of China-based companies into the U.S. markets so they could manipulate trading and reap millions of dollars in illicit profits.
Wall Street banks are embracing a new derivatives rule they previously lobbied against, reports the New York Times.
Ontario’s 2014 Budget includes a priority statement targeting financial advisors.