Victims of a day-trading scheme have until Dec. 6 to file a compensation claim
The SRO’s annual report was published on Tuesday
Regulator wants firms to assess their FX oversight following settlements with TD and RBC
OSC settlement agreements highlight the value of cooperation
Both banks will also audit their own compliance with the FX global code
New fund sector advisory group replaces the Investment Funds Product Advisory Committee
The new guidance applies to basic trading accounts at order-execution-only firms
The traders disclosed detailed information about customer orders in online chatrooms, the regulator says
Wells Asset Management System voluntarily ended its registration, the ASC says
The guidance aims to help firms identify and engage appropriate consultants