Regulatory

More regulatory heat for JPMorgan Fallback Image Decorative pattern

Industry

More regulatory heat for JPMorgan

The New York Times Dealb%k reports JPMorgan is on the hot seat again with regulators.

By Staff |May 3, 2013

1 min read

CSA announce roundtables on ‘best interest’ duty Fallback Image Decorative pattern

Industry

CSA announce roundtables on ‘best interest’ duty

The Canadian Securities Administrators (CSA) announced today that the Ontario Securities Commission (OSC) will host two roundtables to further explore and discuss the issues identified in CSA Consultation Paper 33-403 – The Standard of Conduct for Advisers and Dealers: Exploring the Appropriateness of Introducing a Statutory Best Interest Duty When Advice is Provided to Retail Clients.

By Staff |May 2, 2013

2 min read

MFDA releases first enforcement report Fallback Image Decorative pattern

Industry

MFDA releases first enforcement report

The MFDA has released an annual enforcement report.

By Staff |April 30, 2013

2 min read

Firm leaves IIROC over regulatory burden Fallback Image Decorative pattern

Industry

Firm leaves IIROC over regulatory burden

A firm is voluntarily winding-up of its operations and IIROC membership.

By Staff |April 29, 2013

1 min read

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