FSA says traded life policy investments are high risk, toxic products that are generally unsuitable for the majority of retail investors and should not be…
Funny Money uses humour to connect and capture the attention of high school students
Parizeau says AMF should use veto to ensure Montreal doesn't become a shell for derivatives
Proposed amendments designed to ease burdens that issuers and dealers face in trying to complete a prospectus offering
The G20 has emphasized the importance of transparency in these markets and their protection against abuse
Proposed prospectus form designed to provide better understanding of the benefits, risks and costs of investing in scholarship plans
Maple and TMX refuse to make new commitments to Montreal in AMF hearing
Sentencing makes it clear that the courts take these matters seriously, says OSC’s Atkinson
Priest and Phillips prohibited from becoming or acting as a director or officer
Act enhances the supervisory powers of the Financial Consumer Agency of Canada
ICBC wants to make it easier for MGAs to report bad agents directly to the regulators
Stakeholders get their say
Review is designed to ensure that U.S. banks are adequately capitalized to weather a worsening economic storm
OSFI urges firm to be diligent in ensuring they don't violate prohibitions
Oral disclosure of Duic investigation to Rankin’s legal counsel deemed sufficient
Ottawa moves to block “virtually all” transactions with Iran’s central bank
New Futures Trading raised over US$1.3 million from investors
McErlean misrepresented investment information to clients about their accounts
Amendments ensure policy remains up to date
SROs to share information on firms and individuals, and collaborate on investigations and enforcement matters
Regulator failed to provide reasons for its order
Da Silva and O’Brien each sentenced to 27 months
Firm to pay US$3.3 million to settle charges
New guidelines from CAPSA deal with prudent investment practices and pension funding
Hefford obtained blank, pre-signed forms for 65 clients