The CSA and IIROC seek feedback on the impact of internalization on Canadian equity markets
Membership in new group includes banks, insurers and asset managers
The regulator plans to take action against firms that engaged in misconduct
Convictions stem from a scheme to access confidential information about audits
The firms admitted to failing to properly disclose ongoing mutual fund fees to clients
The big three life insurers recorded better results in 2018
The lawyer failed to identify that a former client was allegedly engaging in a market manipulation
Sanctions ordered against three people and a firm
Regulator orders almost US$1 million in sanctions, disgorgement and restitution
Regulator plans to study the effects of curbing trading venues’ fee/rebate structures