The Mutual Fund Dealers Association of Canada has issued a report on governance issues for comment.Earlier this year the MFDA published a bulletin concerning the…
Regulator releases final version of statement of priorities
The British Columbia Securities Commission has settled with John Gregory Paterson, the former president and CEO of Southwestern Resources Corp., who admitted to fraud and…
The Alberta Securities Commission has issued an interim cease trade order against Sellars Financial Inc., Robert John Sellars and Penny Jean Sellars.The order is based…
IPC currently not covered
The Financial Services Authority has indefinitely extended its disclosure regime for significant net short positions in financial sector stocks, the U.K. regulator said Friday.The new…
System will be accessible to the entire Canadian insurance industry
Proposals aimed at enhancing the quality of advice investors receive
Reciprocal currency arrangements between the Fed and other central banks have been extended to February 2010
The Ontario Securities Commission announced on Wednesday that it would consider reviewing a decision by an Investment Industry Regulatory Organization of Canada hearing panel regarding…
The Developing markets have felt the financial crisis more acutely than expected, the Emerging Markets Committee of the International Organization of Securities Commissions said Wednesday.“The…
Proposed changes include new “executive” category
Pair illegally purchased shares of Icon Industries
Vitug penalty hearing set for June 24
Province will protect its jurisdiction, Bachand says
New office to craft a plan for a single regulator
Funds and managers should face mandatory registration
Regulator says company failed to meet disclosure requirements regarding risks related to seg funds
Administrator and CEO of Antigua’s Financial Services Regulatory Commission is implicated in Ponzi scheme
MFDA proposed amendment would permit remuneration to be directed to unregistered corporations, provided that certain conditions are met
New rule would require dealers to deliver a basic "fund facts" document at, or before, clients buy a new fund
Regulators should also consider a timely reporting regime and an effective compliance and enforcement system for shorts selling
Council also supports the creation of a European systemic risk board
The Basel Committee on Banking Supervision and the International Association of Deposit Insurers (IADI) issued the final version of a set of principles to guide…
Firms pay total of US$1.4 million