The Alberta Securities Commission (ASC) has concluded a settlement with Petroleum Unlimited, LLC, and Ohio-resident Roger A. Kimmel Jr. regarding allegations that they did not…
Jenset permitted a non-registrant to perform “know your client” obligations
A review panel of the Investment Regulatory Organization of Canada has dismissed the request for review by Credifinance Securities Ltd., IIROC said Tuesday.An IIROC hearing…
Lamontagne handed six-month suspension by IIROC panel
Dickson ponders whether it is possible to overcome human nature and the strong influence of incentives
The Supreme Court rules that UPS was entitled to set-off overpayments of GST, rather than using an application process demanded by CRA
CRA revokes the charitable status of Toronto charity
Regulator asked KPMG to disclose documents relating relating to work for Merendon Mining
William Dudley has been appointed as chairman of the Committee on Payment and Settlement Systems (CPSS), the Bank Bank for International Settlements said Monday.His appointment…
Boards need to increase their involvement in setting risk appetite, overseeing management and compensation
Measure will help stimulate Canada’s manufacturing sector, Clement says
Settlements include total fines of US$850,000
Among other things, the GAO recommends that SEC’s new office of collections and distributions adopt a new structure
Senior director says it’s vital to take all the steps necessary to deter criminal elements
Company reviewing regulator's complaint
The International Organization of Securities Commissions’ policymaking body has published its’ interim recommendations for regulatory changes designed to deal with unregulated financial markets and products.On…
The Nova Scotia Securities Commission has published its business plan for the coming year, highlighting its commitment to the passport system.In the plan, the commission…
Regulatory fees to hold at current rates for one year
Regulator moves to preempt spread of alleged Ponzi scheme to Quebec
The Investment Industry Regulatory Organization of Canada is proposing amendments to its rules that are designed to simplify a new methodology for margining equity securities.The…
The U.S. Securities and Exchange Commission has a former Citigroup investment banker for allegedly tipping his brother about upcoming merger deals, the SEC said Thursday.The…
The U.S. Securities and Exchange Commission on Thursday announced a new effort to identify and assess risks in the financial markets by recruiting financial industry…
MFDA terminates membership of bankrupt firm
The European Commission has proposed a new regulatory framework for alternative investment managers.The so-called Directive on Alternative Investment Fund Managers “aims to create a comprehensive…
Alberta Securities Commission (ASC) has concluded a settlement with Gary Michaels, vp of communications CV Technologies Inc., regarding allegations of illegal insider trading of CV…