The Ontario Securities Commission has released the final agenda, discussion topics and panelist list for its proxy voting roundtable.
The $20 billion in fines regulators levied against JPMorgan Chase in the past year may seem big, but the bank's even larger profits have taken their sting away, reports the New York Times.
The Canadian Securities Administrators (CSA) announced in April 2013 the signing of a new service agreement with CGI Information Systems and Management Consultants Inc. Under the agreement, CGI will assume responsibility for the hosting, operation and maintenance of the System for Electronic Document Analysis and Retrieval (SEDAR), the System for Electronic Disclosure by Insiders (SEDI) and the National Registration Database (NRD).
The Financial Industry Regulatory Authority (FINRA) today released its 2014 Regulatory and Examination Priorities letter, which highlights significant risks and issues that could adversely affect investors and market integrity this year.
The Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice soliciting comment regarding a proposal called Comprehensive Automated Risk Data System (CARDS).
Great-West Life has been ordered by a court to pay a Manitoba couple $528,000 after one of its agents took their life savings, reports CBC.
Our top financial phrase of 2013 is, “Commissions in the crosshairs.”
The Canadian Securities Administrators (CSA) published today for comment CSA Notice 81-324 and Request for Comments Proposed CSA Mutual Fund Risk Classification Methodology for Use in Fund Facts (CSA Notice 81-324), which sets out a proposed risk classification methodology (the Proposed Methodology) for use by mutual fund managers in the fund facts document (Fund Facts).
When regulators come knocking in 2014, make sure you’re ready.
Regulators dish on big topics at industry conference