Regulation

Wealth managers must adapt to new realities: PwC

Despite the resurgence of global wealth to nearly pre-2008 levels, the wealth management industry is facing significant margin pressure caused by stringent and costly regulatory requirements, uneven growth across geographic markets, loss of certain types of fees and subdued client activity, according to a report from PwC.

By Staff |July 11, 2013

3 min read

Industry clashes over proposed no-contest settlements

The OSC wants faster dispute resolution.

June 18, 2013

4 min read

Rep fined $40,000 over supervisory failure

On May 14, 2013, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Guy François Brunet.

By Staff |June 4, 2013

1 min read

Nasdaq ramps up market oversight

Nasdaq OMX Group is ramping up its monitoring of its U.S. exchanges.

June 4, 2013

1 min read