Regulatory

U.S. regulators fighting over new derivatives platform

The bumpy launch of the Commodity Futures Trading Commission’s new derivatives trading platform just got bumpier, reports the Financial Times.

By Staff |October 3, 2013

1 min read

CSA adopts IFRS amendments for investment funds

The Canadian Securities Administrators (CSA) have completed the final step in the transition to International Financial Reporting Standards (IFRS) for investment funds and published today final amendments to National Instrument 81-106 Investment Fund Continuous Disclosure, its Companion Policy and related amendments.

By Staff |October 3, 2013

2 min read

SEC awards whistleblower more than $14M

The Securities and Exchange Commission has announced an award of more than $14 million to a whistleblower whose information led to an SEC enforcement action that recovered substantial investor funds.

By Staff |October 2, 2013

2 min read

Two reps fined $2.5M

IIROC has found David Charles Phillips and John Russell Wilson failed to tell their clients that certain First Leaside Group products were high risk.

By Staff |September 25, 2013

3 min read