Big changes ahead for Canadian securities industry
The long road to establish a Canadian national securities regulator has been riddled with detours and political inertia. Numerous...
Read more
Regulation Archive
Vanguard joins attack on FSB plan for ‘too big to fail’ fund managers
Vanguard, the second-largest money manager in the world, has joined peers BlackRock, Fidelity and others in sharply criticizing...
Read more
How an investor awareness campaign can implicate securities laws
Traditional IR firms share their client’s story in forums ranging from widely attended roadshows to one-on-one investor meetings...
Read more
Outspoken Republican SEC commissioner Gallagher to resign
SEC commissioner Daniel Gallagher, an outspoken critic of Dodd-Frank, is to resign, heralding a transformation at the regulator...
Read more
ASX rule change could create ‘two-tier’ regulatory system, warns AIRA
Proposed changes to Australia’s continuous disclosure rules have come under fire from the Australasian Investor Relations...
Read more
China in renewed crackdown on margin trading violations
China’s securities regulator has strengthened its crackdown on margin trading accounts, punishing six more securities firms for...
Read more
What our capital markets owe to ERISA
Forty years ago, the US Congress passed the Employee Retirement Income Security Act (ERISA). Motivated by workers losing their...
Read more
EBA pay rules could force asset management firms to change business models
The European Banking Authority’s (EBA) latest proposal to curb remuneration for bankers would pose a ‘significant challenge’ to...
Read more
Middle East society publishes IR guidelines
The Middle East Investor Relations Society (ME-IR Society) has published a new code of conduct for IROs in the UAE to provide best...
Read more
Call for improved disclosure at Canada’s medical marijuana firms
Public companies entering Canada’s fledgling medical marijuana market are failing to disclose a series of business risks and are...
Read more
