OANDA, New York based forex trading serving provider recently revealed in an announcement that it has made a new addition to its APAC region senior level leadership team. As per statement released by the firm…
Saskatchewan Passes new Securities legislation to Strengthen Investor…
IIROC secures legal authority to enforce its disciplinary actions against wrongdoers. May 16, 2019 (Regina, Saskatchewan) – The Investment Industry Regulatory Organization of Canada (IIROC), today thanked the Government of Saskatchewan for passing legislation that…
Passage of Bill 67 Strengthens Investor Protection in…
Nova Scotia joins two other provinces in giving IIROC full enforcement toolkit October 12, 2018 (Halifax, Nova Scotia) – The Investment Industry Regulatory Organization of Canada (IIROC) today applauded the Government of Nova Scotia upon…
SEC Adopts Final Rules and Solicits Public Comment…
Washington D.C., July 18, 2018 — The Securities and Exchange Commission today issued final rules to amend Securities Act Rule 701, which provides an exemption from registration for securities issued by non-reporting companies pursuant to…
SEC Charges Morgan Stanley in Connection With Failure…
Washington D.C., June 29, 2018 — The Securities and Exchange Commission today announced that Morgan Stanley Smith Barney (MSSB) has agreed to pay a $3.6 million penalty and to accept certain undertakings for its failure to…
Canadian securities regulators align to publish harmonized response…
CSA publishes reforms to put clients' interests first and indicate policy decision on embedded commissions Toronto - The Canadian Securities Administrators (CSA) today published two notices concerning investor protection initiatives. The first requests public comment on detailed reforms…
Proposed Securities Fraud Bill Causes Controversy
A bill currently being debated by the House Financial Services Committee to help control securities fraud may do the opposite. The House Financial Services Committee held a hearing entitled “Ensuring Effectiveness, Fairness, and Transparency in…
Canadian securities regulators provide additional guidance on securities…
Montréal - The Canadian Securities Administrators (CSA) today published CSA Staff Notice 46-308 Securities Law Implications for Offerings of Tokens, which provides additional guidance on the applicability of securities laws to offerings of coins or tokens, including…
Canadian securities regulators focus on areas for reducing…
Toronto – The Canadian Securities Administrators (CSA) today published CSA Staff Notice 81-329 Reducing Regulatory Burden for Investment Fund Issuers, which outlines the CSA’s plan to pursue four initiatives in the near-term that would remove…