Keyword: Regulatory

1340 results found
gavel on a wooden bench

The man allegedly borrowed more than $500,000 from clients

  • By: Staff
  • May 8, 2020 May 8, 2020
  • 15:12
Lawyer

IIROC found that the man failed in his duty to protect the financial markets

  • By: Staff
  • May 7, 2020 May 7, 2020
  • 16:41
stack of documents or files, overload of paperwork on black background

Bylaw amendments focus on access to records

  • By: Staff
  • May 7, 2020 May 7, 2020
  • 15:53
Multiracial business meeting in boardroom, sitting at a table

The OSC committee will consider the pandemic's impacts, implementation of client-focused reforms

  • By: Staff
  • May 7, 2020 May 7, 2020
  • 14:48
Drawings and charts of successful business, workplace of the businessman

The CSA provides relief for filing exec compensation and shareholder requests

Because of the pandemic, the regulator will forgo publishing it 2021 priorities

Wooden gavel used by a judge or auctioneer

The regulator has ordered a permanent ban, but only a modest fine, against the former rep

Securities trending down

The self-regulatory organization issued new guidance for dealers' sales practices

Wooden gavel used by a judge or auctioneer

The regulator had previously halted live hearings until April 30

  • By: Staff
  • April 27, 2020 April 27, 2020
  • 11:19
Life saver falling on blue churning water

The regulator says it will handle requests 'expeditiously'