Regulatory

Raise advisor standards

I recently talked with a small-business owner who stunned me with his impression of financial advisors.

By Dean DiSpalatro |July 31, 2013

2 min read

SEC charges tipper in S.A.C. insider trading case

The Securities and Exchange Commission has charged the tipper of confidential information to a S.A.C. Capital portfolio manager who has been charged with insider trading.

By Staff |July 31, 2013

2 min read

CSA won’t rein in venture issuers

The CSA won’t implement a new tailored regulatory regime for venture issuers.

By Staff |July 26, 2013

1 min read

Regulators sign MOUs with Europeans on alternative investments

The Ontario Securities Commission (OSC), Autorité des marchés financiers (AMF), Alberta Securities Commission (ASC) and British Columbia Securities Commission (BCSC) today announced they have entered into supervisory Memorandums of Understanding (MOUs) with financial regulators of member states of the European Union (EU) and European Economic Area (EEA) regarding the supervision of alternative investment fund managers as required under the EU Alternative Investment Fund Managers Directive.

By Staff |July 26, 2013

1 min read