The Bank of Canada announced a change in the eligibility requirements for certain securities pledged as collateral under its Standing Liquidity Facility.Effective immediately, the minimum…
The UK’s Financial Services Authority has unveiled a set of principles designed to guide the handling of inside information to prevent illegal trading.
The U.S. Securities and Exchange Commission today announced the list of panelists scheduled to participate in a roundtable on the use of interactive data for…
Staff allege investors contributed over $12 million through the illegal distribution of promissory notes
National securities enforcement agency more achievable, says Queen’s professor
Regulator calls for submissions from stakeholders
First results of SEC-CFTC memorandum of understanding
The Office of the Superintendent of Financial Institutions has published a draft advisory that gives insurance companies guidance on the recognition of hedges in terms…
Regulators takes same action as other provinces
New regulations take effect July 1
SRO begins operations June 1
Room for improvement in several areas
Representatives from reporting issuers, industry associations, advisors, and investing organizations invited to apply
Schedule announced for process agreement to be completed mid-June; IIAC lends industry support
Canadian regulators active on task forces
Elliot sold securities without being registered or filing a prospectus
Report makes recommendations on issuer transparency and investor due diligence, risk management, and valuation and accounting issues
ISOCO panel discusses challenges inherent in setting accounting standards
Crisis sparks variety of regulatory reform proposals
Issues temporary cease trade order against Adcapital companies
Liechtenstein bank used as conduit for suspicious trading, regulator alleges
The Mutual Fund Dealers Association of Canada (MFDA) is seeking changes to its recognition orders, and amendments to expand the population of possible public directors.According…