Regulators encouraged that many agencies have adopted policies consistent with the IOSCO code
Organization also elects members to its executive committee
Regulators responding to increased volume of offerings
The Ad Hoc Committee respond to the SIA with suggestions
If not for a certain eager New York state attorney general, the Canadian fund industry might have skated by with a kinder, gentler governance regime. But after an Eliot Spitzer-inspired investigation of market-timing in Canada, the fund industry finds itself facing not only tougher governance requirements but also the promise of more rules.The Ontario Securities […]
Topics cover outsourcing, market timing, and error trades
Efforts underway to identify higher risk jurisdictions