Regulatory

Court upholds SROs’ ability to enforce decisions

Ontario judge sides with MFDA in attempt to collect sanctions

By James Langton |April 14, 2022

3 min read

CSA seeks “access equals delivery” for most filings

Proposed regime would apply to prospectuses and financials but not proxies

By James Langton |April 7, 2022

2 min read

IIROC fines CIBC World Markets $150K for trading supervision failures

The investment dealer failed to identify and review suspicious trader activity

By Staff |April 7, 2022

2 min read

SEC reminds firms to prioritize retail investors’ interests

Best interest rules and fiduciary duties should produce similar outcomes, U.S. regulator says

By James Langton |March 30, 2022

2 min read