Topic: Regulation

Transition to T+2 settlement successful: CCMA

Staff / April 20, 2018 / Industry News

CSA seeks input on proposed derivatives registration rule

Staff / April 20, 2018 / Industry News

Wells Fargo to pay US$1 billion for lending misconduct

Ken Sweet, The Associated Press / April 20, 2018 / Industry News

Public complaints about financial planning triple in 2017: FPSC

Staff / April 20, 2018 / Industry News

Feds release privacy rules dealing with data breaches

David Paddon, The Canadian Press / April 20, 2018 / Industry News

Details on Mackenzie Financial penalty for improper sales practices

Staff / April 19, 2018 / Industry News

SEC proposes best interest rules for U.S. broker-dealers

Staff / April 19, 2018 / Industry News

All about OSC’s 2018 risk assessment questionnaire

Staff / April 19, 2018 / Industry News

MFDA rep fined $75,000 and permanently banned

Staff / April 18, 2018 / Industry News

OSC warning investors about BitConnect and BCC Exchange

Staff with files from The Canadian Press / April 17, 2018 / Industry News