Regulatory

MFDA rep fined $25,000 for acting “outside his registration”

The Mutual Fund Dealers Association of Canada commenced a disciplinary proceeding in respect of Jeffrey D. Mushaluk by Notice of Hearing dated January 11, 2016.

By Staff |July 29, 2016

2 min read

HSBC currency head arrested for frontrunning

The U.S. Justice Department alleges that in 2011, the two men used insider knowledge to trade ahead of an HSBC currency conversion worth US$3.5 billion.

By Staff |July 20, 2016

1 min read

CRM2 is here. Are you ready?

CRM2 has been on your mind for the last few years. And now, the third phase has come into effect.

By Staff |July 15, 2016

2 min read

More work to do on Capital Markets Stability Act: IFIC

In its comment letter, IFIC outlines its key concerns about the government's draft Capital Markets Stability Act.

By Staff |July 13, 2016

2 min read