Client losses were between 52% and 59% of account value
The region represented 40% of global issuance in the space last year
The firm is restructuring its capital markets business
A proposed rule change would better align the self-regulatory organization's provisions for information with those of OBSI
The former executive allegedly embezzled millions
The firm has agreed to a $100,000 fine, along with other conditions
The regulator says it will continue to work with the CSA on deferred sales charges and trailers to discount brokers
The OSC's Jensen will chair the CSA's Policy Coordination Committee for another two years
The conflicts involved Fitch shareholders sitting on the boards of companies being rated
The firm agreed to settle the case, paying £34.3 million