Regulatory

Ontario gets OM exemption; rule changes in other provinces

Regulators have introduced an offering memorandum prospectus exemption in Ontario and will modify the existing offering memorandum exemption in Alberta, New Brunswick, Nova Scotia, Québec and Saskatchewan.

By Staff |October 29, 2015

2 min read

No-contest settlements still hot-button issue

Protecting harmed investors involves more than covering financial losses.

October 27, 2015

3 min read

Criminal charges on tap in N.Y. Fed, Goldman Sachs leak case

Federal prosecutors in the U.S. are on the cusp of laying criminal charges in a case centring on confidential information leaked by a Federal Reserve Bank of New York employee to a former colleague who had taken a job at Goldman Sachs.

By Staff |October 26, 2015

2 min read

FINRA dismisses bizarre claim against advisor

If you read as many FINRA decisions as Bill Singer, you’ll come across some real doozies.

By Staff |October 26, 2015

2 min read