Regulatory

Tougher money laundering rules intimidate banks Fallback Image Decorative pattern

Industry

Tougher money laundering rules intimidate banks

A handful of the world’s largest banks are pulling out of the Middle East and Asia.

April 22, 2013

1 min read

Rep fined over personal client dealings Fallback Image Decorative pattern

Industry

Rep fined over personal client dealings

An IIROC hearing panel accepted a settlement agreement with Daniel Edward Smith.

By Staff |April 22, 2013

1 min read

CSA proposes derivatives market registration and regulation Fallback Image Decorative pattern

Industry

CSA proposes derivatives market registration and regulation

The Canadian Securities Administrators (CSA) today published for comment Consultation Paper 91-407 – Derivatives: Registration, which sets out the CSA’s recommendations on registration and regulation of market participants trading in derivatives.

By Staff |April 18, 2013

1 min read

Vanguard supports CSA’s mutual fund fee proposals Fallback Image Decorative pattern

Industry

Vanguard supports CSA’s mutual fund fee proposals

Vanguard comments on the CSA’s mutual fund fee disclosure paper.

By Staff |April 15, 2013

2 min read

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