The Alberta Securities Commission (ASC) has extended an interim cease trade order against Lethbridge businessman Robert Michael Smylski and Smylski Consulting Services Ltd., which operates…
Senior supervisors group issues report on management of recent CDS credit events
Proposal would bring transparency to primary market, government agency and GSE debt
Ability to carry out administrative responsibilities impaired by consumption of prescribed medication
Move to a more principles-based approach to regulation is desirable
Rules intended to improve the accessibility and transparency of commission proceedings
Dedicated team to handle high-risk tips
Review follows in wake of Madoff scandal
The international umbrella group for securities regulators has published its recommendations for improving oversight of commodity futures markets, the International Organization of Securities Commissions said…
Firms agree to pay nearly US$70 million
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement entered into between IIROC staff and Montreal broker…
Firms not registered to sell securities in Ontario
The UK’s Financial Services will adopt a new disclosure regime for Contracts for Difference, the FSA said Tuesday.The new rules, which will take effect June…
TALF to provide financing to investors to support their purchases of certain AAA-rated asset-backed securities
The U.S. Securities Investor Protection Corp. announced that it will move from charging flat fees to revenue-based assessments, starting next month.The SIPC, which maintains a…
The U.S. Securities and Exchange Commission is warning investors and financial services firms about con-artists who may use the names of actual SEC employees to…
The Investment Industry Regulatory Organization of Canada says that the implementation of trading rule amendments requiring the reporting of certain failed trades is being deferred.…
The Alberta Court of Appeal has upheld an Alberta Securities Commission (ASC) decision against Edmonton businessman Lambert “Bert” Lavallee relating to illegal trades and illegal…
The UK’s Financial Services Authority has published a proposed code of practice concerning the pay policies of financial firms.The draft code aims to “ensure that…
An investigation has resulted in a New Brunswick Securities Commission (NBSC) hearing panel ordering that Strategic Energy Partners and Jim Palmer be banned from trading…
Firm to pay $125,000 civil penalty for violating fair dealing, gifts and gratuities and supervisory rules
The report identifies three areas in which IOSCO is proposing principles to address the issues raised by the growth of DEA
Current head of New York Stock Exchange Regulation will retain post as FINRA chairman as well
Report that sets principles is sent out for public comment; deadline is May 20
The regulator’s representative office will remain open in Canada to assist clients recover troubled assets