KPMG appointed receiver of ASL Direct
OSC obtains court order
- By: IE Staff
- November 18, 2008 November 18, 2008
- 11:50
OSC obtains court order
A hearing panel of the Prairie Regional Council of the Mutual Fund Dealers Association has suspended membership of B.C.-based Laurier Capital Planning Inc.According to the…
Agency reviewing all tax shelter-related donation arrangements
Proposal to be unveiled by the end of April 2009
Legacy Associates fined $15,000 for compliance violations
U.S. regulators to address OTC market in credit default swaps
No threat has been indentified, bank says
Ottawa lends additional support for Canadian credit markets
New term loan facility unveiled
Agencies call on banking organizations to review management compensation policies
The UK’s Financial Services Authority is calling on regulators and law enforcement agencies from around the world, including the U.S. Securities and Exchange Commission and…
The Office of the Superintendent of Financial Institutions is revising guidelines to accommodate accounting rule changes regarding financial instrument disclosure.As a result of this new…
The federal government has released draft legislative proposals to implement amendments to the functional currency tax reporting rules.“The proposals I am announcing today will improve…
Commodity futures scheme resulted in investor losses of US$7 million
Revised document incorporates suggestions following from March 2008 discussion paper
The U.S. Securities and Exchange Commission has approved a plan that establishes a process for reserving, selecting, and allocating securities symbols, the regulator announced Thursday.The…
Firm failed to submit risk assessment questionnaire
IIROC member disciplined for violating capital by-law
A hearing panel of the Investment Industry Regulatory Organization of Canada has suspended the membership of Evergreen Capital Partners Inc., IIROC reported Wednesday.Evergreen has ceased…
Mutual fund managers would need to register with AMF
Niles and BCS ignored court order instructing them not to trade
Fan breached client trust
Futher suspended for 60 days
The U.S. Federal Reserve Board warned Tuesday that people seeking loans are being enticed with fraudulent promises of access to a non-existent Fed facility.The Fed…
The U.K. Financial Services Authority has published a consultation paper proposing a new framework to regulate the way that banks treat their retail customers.Next year,…