The charge stemmed from using confidential lists of audit reviews to enhance the firm's results
Through the first nine months, Canadian equity issuance totalled $22 billion from 215 deals
Insolvencies increased year-over-year in August
Comments are due Jan. 2
The rules would explicitly require firms to resolve material conflicts of interest in the best interest of their clients
Fee changes would have to be submitted for comment and approved
The regulatory agency has published a consultation paper on market abuse rules
Global group of securities regulators has updated reviews of reforms for money market funds and securitizations
The firms allegedly used phantom bids and false communication to increase trading activity
Firm's traders believed that the exchange allowed the transactions in question