The UK’s Financial Services Authority is proposing to extend its temporary disclosure regime for significant net short positions in the stocks of UK financial sector…
ASC panel decision follows similar order by BCSC
Firms failed to adequately monitor for suspicious trading activity
BCSC fines firm and president for advising clients without registration
Firm failed to disclose referral arrangement with Portus to clients
Managing capital conservatively does not mean increasing capital, regulator says
Proprietary Industries duo ordered to pay $1.5 million in fines and costs
Dapaah falsified more than $21 million in charitable donations
Regulators grant extension to MFDA
Passport system available to registrants in all provinces, CSA says
Regulators propose changes in three main areas
KPMG was appointed receiver and manager of all of the property of New Life Capital Corp. and its related entities by the Superior Court of…
Big companies required to start using tags by mid-2009
In a discussion paper released Friday, the UK’s Financial Services Authority aims to explore the steps the regulator or others could take to help consumers…
FINRA CEO tapped to replace Cox
The British Columbia Securities Commission has settled with an investment dealer that agreed to pay $12,000 for breaching a BCSC cease trade order.E*Trade Canada Securities…
Changes will make it easier for issuers and insiders to understand their obligations, regulators say
Joint Standing Committee reports on product suitability consultation
Regulator chief launches investigation
Rates to stay low for the foreseeable future, economists say
Province stands firm on passport system of securities regulation
Province appoints economic advisory panel to address market uncertainty
Outlook for financial stability remains uncertain: ECB
Panel finds four instances of inadequate supervision