Firms pay US$45 million to settle trade reporting, recordkeeping violations
SRO proposes mandatory close-out requirements that aim to prevent failed trades, align with U.S. regime
Hedge fund traded on information about firm's pending block trades
OSC failed to prove any of its allegations against dealer, investment banker
OSC asked to review OM exemption, beneficial ownership registry being examined
Info was used to enter into short sale transactions without Stifel's knowledge
SEC, DoJ allege Citron Research, and its founder, misled investors
Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
Company completed offering while valuation was inflated, regulator says
Fund's strategy included working with publishers of bearish articles