Regulation

U.S. advisors’ compensation to rise: report

U.S. advisors’ compensation levels will increase in 2013, says the 2012 U.S. Asset Management Compensation Report.

January 9, 2013

2 min read

OBSI the right choice for dispute resolution: CSA

The Canadian Securities Administrators (CSA) today published for comment amendments to CSA National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations, which would require all registered dealers and advisers, outside of Québec, to use the Ombudsman for Banking Services and Investments (OBSI) as the common dispute resolution service (DRS) for the securities industry. “Mandating […]

By Staff |January 2, 2013

1 min read

Are outside business activities worth the risk?

Learn how to stay out of trouble.

December 18, 2012

5 min read

Hong Kong to make banks liable for deceptive IPOs

The Financial Times reports that Hong Kong’s Securities and Futures Commission wants new rules that would make investment banks criminally responsible for misrepresentations made by firms they help go public.

By Staff |December 12, 2012

1 min read