Industry

A royal baby and your clients’ kids

The royal baby has arrived, and while he won’t have to worry much about finances, your clients' kids may not be so lucky.

By Staff |July 22, 2013

1 min read

FINRA beefs up transparency in mortgage-backed market

FINRA has significantly increased transparency in mortgage-backed securities issued by Fannie Mae, Freddie Mac and Ginnie Mae.

By Staff |July 22, 2013

2 min read

OSC launches registrant outreach program

To promote stronger compliance practices and enhance investor protection, the Ontario Securities Commission (OSC) is strengthening its communication with registrants through a newly launched Registrant Outreach program.

By Staff |July 22, 2013

2 min read

SEC, European regulators make oversight agreement

The Securities and Exchange Commission has announced it has established supervisory arrangements with financial regulators of the member states of the European Union (EU) and the European Economic Area (EEA) as part of long-term strategy to improve the oversight of certain entities in the asset management industry that operate across national borders, including investment advisors and investment fund managers.

By Staff |July 22, 2013

1 min read