What's with all the commotion at the SEC?
All eyes are on the SEC this morning as the regulator holds a public meeting to vote on whether to adopt rules surrounding...
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Regulatory & compliance archive
Peregrine's top brokerage chief to pound rocks
Another mighty one has fallen. Russell Wasendorf Sr, chief executive of the bankrupt brokerage firm Peregrine Financial Group (PFG...
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Adjusting to the OSC's new goals
Canadian companies should start preparing to deal with the new and improved Ontario Securities Commission (OSC). The regulator...
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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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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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