Although only the CSA has the jurisdiction to change the regulatory landscape in Canada, the white paper raises some very important questions for regulators, said…
Candice Graf ordered to pay $250,000 administrative penalty
The new program will be officially rolled out in October in Madrid
The SRO is looking to expand its MOU with FSCO to include reciprocal discipline in areas such as outside business activities and borrowing from clients
The goal of the voluntary program is to speed up the resolution of enforcement cases
Enhanced disclosure serves the interests of investors
“Limit up limit down” program will run for a second year
OSC issues ruling based on previous fraud conviction
The changes will allow certain enforcement orders from other provincial regulators to apply right away in Nova Scotia
The requirement to use SEDAR takes effect on May 24
Given a lack of consensus on the CSA’s proposal, regulators have decided to go forward with original plan proposed last year
Submission to the SRO’s white paper suggests that removing the 270-day rule would “begin to unravel the current SRO system”
Three more provinces agree to enhance co-operation with CFTC
The regulator is also taking a proactive approach to members’ concerns about cost and compensation reporting coming into effect with CRM2
Senior investigator Jason Roy was called at home by an unregistered binary options trading firm
US$1.3 million returned to investors
Fund dealers dispute liability for former advisor’s misconduct
The panel continues to push the OSC to introduce a best interest standard
The Quebec regulatory has yet to decide on the compliance of these products and the companies offering them
There can be “significant consequences” if a firm incorrectly treats a pension income stream product as not being a security
CFTC chairman calls for improved data collection to help assess the possible systemic risk posed by hedge fund leverage
At its peak, Sino-Forest was the most valuable forestry company listed on the TSX, with a market capitalization of $6 billion
Hospitality events are likely to create conflicts of interest and result in firms not acting in their customers’ best interests
Over longer time periods, researchers did find patterns that are consistent with HFTs anticipating the order flow of non-HFTs
Input sought on whether the disclosure requirements continue to elicit the information that investors need for investment and voting decisions