Trade desk team gets new manager
Reasons issued over objections of the regulator
Comments due by end of May
Chilwin named new chief counsel
Move follows SEC decision to do same to the NASDAQ
But there are gaps in rules
Canada’s market regulators get it from both sides: wronged investors accuse them of being soft on corporate crime and the Street complains that they are too tough and too arbitrary. If the punishment records are anything to go on, however, it’s investors who have it right.Investment Executive examined the enforcement records of the provincial regulators […]
Penalties total $1.96 million
Media reports are false, says RS chairman
Adds orders against firms and individuals