A total of 682 charges are being laid against five individuals, carrying a total of $551.5 million in fines
Amendments come into force in Ontario on September 12
Securities regulators are, once again, broaching the idea of increasing their oversight of financial planning activity. But while some improvement would be welcome for clients, the looming resistance highlights the deeper problem of regulatory fragmentation.Any effort to take charge of financial planning will inevitably run into complaints that securities regulators are encroaching on territory that […]
Expert panel receives more than 70 formal submissions
Editorial
Market turmoil has highlighted outdated nature of financial regulatory system, Treasury Secretary says
But some are baffled as to just what the regulators are trying to accomplish
Reform gets hung up in provincial differences
Canadian regulators falling behind
A joint U.S.-EU committee, known as the Transatlantic Economic Council, calls for greater integration between the two economic powerhouses, including their respective securities markets.The TEC, comprised of U.S. Cabinet Members and European Commissioners, first met in November 2007 in Washington, DC. It held its second meeting in Brussels this week, after which it issued a […]
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