Home James Langton

The Canadian industry still rates poorly because asset-weighted median expenses are relatively high

  • September 17, 2019 September 17, 2019
  • 11:59

OSC says company execs used funds for personal gain

  • September 13, 2019 September 13, 2019
  • 17:00

The proposals affect disclosure requirements and facilitate online compliance

  • September 12, 2019 September 12, 2019
  • 12:20

The CFTC alleges the defendants made misleading statements in email ads and in an online trading room

  • September 11, 2019 September 11, 2019
  • 12:25

Enforcement was split roughly evenly between cases involving registered and unregistered defendants

  • September 10, 2019 September 10, 2019
  • 16:48

Regulator wants firms to assess their FX oversight following settlements with TD and RBC

  • August 30, 2019 August 30, 2019
  • 14:04

OSC settlement agreements highlight the value of cooperation

  • August 30, 2019 August 30, 2019
  • 12:36

The traders disclosed detailed information about customer orders in online chatrooms, the regulator says

  • August 27, 2019 August 27, 2019
  • 08:55

The "plain language" version will replace existing rules on June 1, 2020

  • August 22, 2019 August 22, 2019
  • 13:18

Most investors don't understand the concept of embedded compensation, such as trailer fees

  • August 19, 2019 August 19, 2019
  • 12:35