investor protection

U.S. reaches deal on broker’s shady trading U.S. reaches deal on broker’s shady trading

Industry

U.S. reaches deal on broker’s shady trading

Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement

By James Langton |August 23, 2023

2 min read

IOSCO, CPMI report examines central counterparty risks IOSCO, CPMI report examines central counterparty risks

Regulation

IOSCO, CPMI report examines central counterparty risks

Policymakers seek to ensure CCP readiness to handle loss events

By James Langton |August 23, 2023

2 min read

Ontario seeks to expand OSC sanctions spending Fallback Image Decorative pattern

Industry

Ontario seeks to expand OSC sanctions spending

Proposal would allow enforcement money to be used for IT projects and new innovation office

By James Langton |August 22, 2023

2 min read

Court pauses rival series of trailer-fee lawsuits Court pauses rival series of trailer-fee lawsuits

Regulation

Court pauses rival series of trailer-fee lawsuits

Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages

By James Langton |August 3, 2023

2 min read