The British Columbia Securities Commission has settled with a Vancouver-based investment dealer and one of its registered sales people who admitted to trading a U.S.…
In its submission to the Expert Panel on Securities Regulation, the Autorité des marchés financiers argues for maintaining the status quo rather than moving to…
Emergency order prevents “naked: short selling in the securities of Fannie Mae and Freddie Mac
Proposals include minor adjustments to TFSA rules
Advertising rules now require additional information about rates, monthly payments and other loan features
Prevention effort augments SEC’s ongoing enforcement investigations
Paulson announces plan to save Fannie, Freddie from bailout
The Canadian Securities Administrators announced that its plan to update the rule requiring executives to certify their filings will take effect later this year.Among other…
DeVries, Grafke, Bromley and Campbell caused investor losses of $1.3 million: BCSC
Market turmoil has highlighted outdated nature of financial regulatory system, Treasury Secretary says
Maximum amortization period now 35 years
Sentence against Lacroix trimmed to 8 1/2 years
Mocek, director of the Division of Enforcement since March 2002, is leaving the commission to return to private practice as a partner in the Energy…
AMF looking to recover $32 million
U.S. markets need to made more resilient and stable
The U.S. Securities and Exchange Commission and the U.S. Federal Reserve Board announced that they have signed a memorandum of understanding (MOU) designed to improve…
Authorities in the United Kingdom are launching new programs to promote personal financial education and to provide financial advice for poor families.The UK Treasury and…
Tighter deadlines for proposed rule changes
$190.7 million in settlement monies distributed so far, OSC says
The UK’s Financial Services Authority has decided to demand greater disclosure about positions held through so-called contracts for difference (CFDs).The FSA announced today that after…
The U.S. Securities and Exchange Commission is seeking to define certain equity-linked financial products as securities in order to protect investors.The SEC has published for…
Final version includes new vision statement
Amendment removes references to “another person” and “widely recognized professional association”