Securities and Exchange Commission Chair Mary Jo White has announced that she intends to leave at the end of the Obama Administration.
The Securities and Exchange Commission has announced an award of more than $20 million to a whistleblower.
At least one industry group, the Insurance Bureau of Canada, has applauded the news.
The Ontario Securities Commission (OSC) is running RegHackTO, the first hackathon by a Canadian securities regulator. The event brings together Canadian innovators, strategists and developers to collaborate on possible solutions to shared challenges in regulation. Read: OSC teams up with Australians to support fintech The event follows the establishment of OSC LaunchPad, which engages with […]
On October 28, 2016, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, between IIROC staff and Edward Jones.
One expert panelist said more traditional firms will need four things to adapt and survive as robos gain market share.
The British Columbia Securities Commission (BCSC) has published for comment proposed amendments to MFDA rule 1.2.5 (misleading business titles prohibited). In an effort to prevent investor confusion, the proposed amendments establish minimum proficiency requirements for approved persons using the title “financial planner.” The proposal would restrict the use of “financial planner” to those who receive […]
She admitted to facts constituting contraventions of MFDA by-laws, rules or policies.
Toronto RBC Dominion Securities advisor Roland Papp maintained multiple brokerage accounts outside of his firm without its knowledge, and that he made untrue and misleading statements in an attempt to conceal his misconduct.
01 Proxy voting commentary Comments were received over the summer on CSA Multilateral Staff Notice 54-304, the final report on the review of proxy voting and request for comments. The notice proposes protocols for counting shareholder proxy votes. Proxy voting is “an important and fundamental right,” says Gordon Raman, a partner at Borden Ladner Gervais […]