New SEC testing and reporting standards expected
A series of mistaken trades that inflicted $440 mn worth of damage on Knight Capital last week and nearly wiped out the firm will...
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Regulatory & compliance archive
Does the dual share structure have merit?
Several complications resulting from TELUS Corporation’s recent attempt to consolidate its voting and non-voting shares into a...
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Canada's stance on good governance
The Office of the Superintendent of Financial Institutions (OSFI) is looking for ways to better monitor and enhance the corporate...
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Companies defended by former SEC lawyers may suffer greater penalties, study shows
Former lawyers for the SEC who are hired by private firms to defend against SEC-related cases are more likely to suffer stricter...
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CSCS chairman seeks five-year plan to fix Canadian proxy system
David Masse, chairman of the Canadian Society of Corporate Secretaries (CSCS), says the initial meeting he organized in July...
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Knight Capital Group errant trading sparks call for market overhaul, preventative measures
Last week the SEC contracted a firm to collect real-time data from US stock exchanges in order to better police high-frequency...
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Recalculating human rights risks
When it comes to human rights issues, Apple is in a no-win situation. Since 2006, it has received heavy criticism over worker...
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Morgan Stanley uses its compliance program as a defense
Recently, Garth Peterson, a former managing director of Morgan Stanley’s real estate business in China, was criminally prosecuted...
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Ten events that have changed corporate governance
Ten years ago, corporate governance was still in the concept stage. There wasn’t much information available to the public about...
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How JP Morgan is meeting regulatory challenges
When Matthew Biben was promoted to the new role of general counsel for JPMorgan Chase’s consumer businesses, he knew that dealing...
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