Regulation

Trade execution under scrutiny

Regulators are looking at rules for best execution, say presenters at the Canadian Equity Market conference, presented by Ontario Securities Commission and IIROC in Toronto today.

By Philip Porado |June 26, 2012

1 min read

B.C. man arrested for alleged illegal securities sales

The British Columbia Securities Commission’s criminal investigations team and the Abbotsford Police Department have arrested Gregory Carrington and charged him with 10 counts under the Securities Act. The charges relate to selling securities without being registered, making misrepresentations, breaching an existing trading ban and selling securities without a prospectus. The charges against Carrington have not […]

By Staff |June 20, 2012

1 min read

Dimon testifies, defends regulators

Jamie Dimon of JP Morgan faced the House Financial Services Committee today. He said the bank did its best to fully inform investors about its risk strategy several weeks before it suffered its US$2 billion-plus trading loss. During his testimony, he was quoted on Twitter as saying, “I’m sorry I’m taking up so many people’s […]

By Staff |June 19, 2012

2 min read

Preparing for audits

The best way to prepare for a regulatory audit is to conduct a compliance review of your own.

By Vikram Barhat |June 19, 2012

4 min read