The Canadian Securities Administrators (CSA) today released its Three-Year Business Plan for the period April 1, 2013 through to March 31, 2016.
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The latest sign regulators are intent on closing even the smallest gaps in the dissemination of potentially market-moving information came Monday. Financial information giant Thomson Reuters, in the midst of a probe by New York's Attorney General, agreed to stop providing a select group of high-frequency traders with consumer survey results prior to the release to other subscribers.
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Financial information giant Thomson Reuters Monday agreed to end its practice of giving high-frequency traders an early look at potentially market-moving consumer survey results that could mean millions of dollars in profits.
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The Canadian Securities Administrators (CSA) today announced that it has issued amendments to National Instrument 23-103 Electronic Trading (NI 23-103), which will establish a consistent framework for the offer and use of direct electronic access (DEA) and address the financial and regulatory risks associated with DEA. NI 23-103 requires appropriate controls to ensure the integrity of dealers that offer DEA and the market as a whole.
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The Ontario Securities Commission (OSC) recently released OSC Notice 11-768 - Notice of Statement of Priorities for Financial Year to End March 31, 2014 (Priorities Notice). The Priorities Notice, among other things, stated that the OSC recognized the importance of shareholder democracy and acknowledged that the OSC will be working to address the recently announced initiative of the Ontario government aimed at increasing the representation of women on boards of directors.
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The Dodd-Frank financial overhaul law gave shareholders the ability to vote on the pay packages of top executives, and it turns out that they fall over themselves to approve.
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Stock trades of fewer than 100 shares that have traditionally been excluded from U.S. share volume tallies are poised to be added to the count.
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Cuts to equity research at the big banks are pushing certain deals - and company coverage - to mid-tier and boutique outfits. And it could mean a few new stops on your next road show.
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As shareholders become more assertive, directors need to be proactively engaged and start listening. The knowledge gained will support informed decisions on pay and executive performance - and prevent a nasty AGM surprise.
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