Regulation

MFDA permanently bans, fines rep $40K for outside activity

The activity was not disclosed to his firm

By Staff |September 11, 2018

1 min read

MFDA fines Excel Private Wealth $40K for inadequate due diligence

Firm had number of supervisory failures

By Staff |September 8, 2018

2 min read

CSA proposes new non-GAAP disclosure requirements

Under current guidance, investors receive "potentially misleading or confusing disclosure"

By Staff |September 6, 2018

1 min read

AMF publishes guidance on modern slavery disclosure requirements

The Autorité des marchés financiers (AMF) today published a notice relating to modern slavery disclosure requirements, which provides guidance to issuers. Modern slavery can take a variety of forms, including any work or service performed by a person involuntarily and under threat of penalty, says an AMF release. “Modern slavery affects tens of millions of people […]

By Staff |September 4, 2018

1 min read