Keyword: Securities regulations

571 results found
rules and regulations

Proposals aim to codify investor protections, enhance flexibility

Swiss financial regulator gets a new leader as it looks to boost scrutiny of the bank

vintage microphones

Leslie Byberg will oversee enforcement as the regulator looks for a new director

  • By: Katie Keir
  • January 23, 2024 January 23, 2024
  • 15:32

Joanna Rotenberg leaves Fidelity Investments, plus other moves

  • By: Katie Keir
  • December 19, 2023 December 19, 2023
  • 16:53
finding your niche

Find ways to excel at the basics, panellists suggested at a CFA Society Toronto event

  • By: Katie Keir
  • December 7, 2023 December 7, 2023
  • 14:11
Banks on money pile

Editorial: The OSC should be doing more to return money to harmed investors

  • By: IE Staff
  • September 18, 2023 September 14, 2023
  • 00:05
Mid-year blackboard

Performance gains in 2022 for the client account statements category peeled back in the 2023 Dealers’ Report Card

Investors' reps challenge a ruling over who gets priority in an insolvency

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Firm tried to hide the fact that cryptoassets represented securities, regulator charged

Crypto coins

Regulators issue guidance on valuation, liquidity and custody issues for crypto funds