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
Plan calls for the creation of a Financial Services Oversight Council
Regulator calls conduct of Global Petroleum Strategies “egregious”
The Investment Industry Regulatory Organization of Canada has found that two registered representatives at Golden Capital Securities Ltd. failed to properly perform their roles as…
World Elder Abuse Awareness Day
Fees for foreign currency transactions violated province’s consumer protection laws
Not all dealers meet the definition of a publicly accountable enterprise
The Financial Accounting Standards Board issued Friday two new accounting standards designed to address weaknesses in accounting and disclosure standards for off-balance sheet vehicles.FASB says…
National Registration Database to be shut down in September
Recommendations to customers must be suitable, regulator says