To help you prepare for the new requirements, industry guru André Fok Kam explains the ins and outs of CRM II’s performance reporting requirements in the latest addition to our Continuing Education offerings.
The CSA today published for comment proposed amendments to NI 52-108 Auditor Oversight, which would give regulators greater insight into situations where the Canadian Public Accountability Board (CPAB) has imposed significant remedial actions on an audit firm.
Oversight of OES accounts to tighten.
Bloomberg reports the U.S. Department of Justice has launched a criminal investigation into foreign-exchange market manipulation.
The OSC’s annual dialogue event took place this week in Toronto.
The Securities and Exchange Commission has launched a new website to provide investors and others with the ability to interactively explore a range of new market metrics and access empirical research and analyses that further inform the broader public debate on market structure.
The OSC wants to close more cases, raise fines and ban more respondents.
The Canadian Securities Administrators (CSA) announced in April 2013, the signing of a new service agreement with CGI Information Systems and Management Consultants Inc.
The Investment Industry Regulatory Organization of Canada (IIROC) has announced that additional settlement funds have been disbursed to eligible investors who purchased third-party Asset-Backed Commercial Paper (ABCP) from Deutsche Bank Securities Ltd. (DBSL).
The bumpy launch of the Commodity Futures Trading Commission’s new derivatives trading platform just got bumpier, reports the Financial Times.