The banks helped sell off Royal Dutch Shell plc’s stake in Canadian Natural Resources Ltd.
Committee members meet with the FSRA’s board of directors this month
The 21st International Conference of Banking Supervisors will focus on timely issues
Ontario's new financial services regulator is part of a global regulatory network
The OSC had imposed a ban on trading securities back in 2011
Engaging in unapproved outside business represents a clear conflict of interest and prevents fund dealer supervision
Recommendations designed to safeguard vulnerable clients from financial exploitation and diminished capacity
Two former reps allegedly generated US$9 million in commissions from 2,800 trades
MFDA panel says respondent “caused significant damage to the integrity of the capital markets”
Firms should review agreements with retail investors, the SRO says