Regulatory

Ontario budget eyes new advisor regulations

Ontario’s 2014 Budget includes a priority statement targeting financial advisors.

By Staff |May 1, 2014

1 min read

SEC charges NYSE for repeated rules violations

The SEC is charging the New York Stock Exchange and two affiliated exchanges for their failure to follow exchange rules and federal securities laws.

By Staff |May 1, 2014

4 min read

Two big banks to face criminal charges

U.S. federal prosecutors are close to bringing charges against Credit Suisse and BNP Paribas in two unrelated cases, the New York Times reports.

By Staff |April 30, 2014

1 min read

CSA proposes proxy advisory firm guidance

The Canadian Securities Administrators (CSA) has published for comment proposed National Policy 25-201 Guidance for Proxy Advisory Firms (Proposed Policy).

By Staff |April 25, 2014

1 min read