The provincial ministers that currently oversee securities regulation in Canada, and have been championing a passport system among the provinces, are now waiting to see…
Regulator’s staff review the latest techniques for investigating and detecting fraud
IMF studying mechanism for holding financial institutions responsible
Connection between dealer and issuer may result in conflicts of interest
Reference questions filed with Alberta Court of Appeal
G7 finance ministers gather in Iqaluit
Wong sentenced to prison after pleading guilty
Companies will need to provide more information about their transition plans
Commission using Internet surveillance tool to identify potentially fraudulent investment websites
Firm faces lawsuit from N.Y. attorney general over Merrill Lynch merger
Regulator alleges firm misled investors about subprime investments
Guidance will help companies make informed decisions
Chairman sworn in for second term
Eight persons banned from B.C.’s capital markets
Revised standards due early 2011
Efforts between the two agencies are increasing in oversight of credit rating agencies and hedge fund advisors
Report outlines efforts to protect investors and markets
22 clients invested $1.58 million in false investments
70-30 vote was closest ever for Fed chairman
Scotia Captial, Pinemore and Birchmore each to pay US$250,000 civil penalty
Ex-Research Capital rep to pay $65,000
Rules will help reduce risks for investors
Fed plans to scale back other liquidity provision mechanisms
Mercury Capital promised to pay investors 25% per month
Employees accused in investment scam to return to court in March