The U.S. Securities and Exchange Commission announced that it has signed protocols enabling it to share information with financial regulators in four European countries on…
Bill 64 enables AMF to act more quickly, grants new investigation powers
Data would improve comparison shopping, says commission
The group of regulators that nominate the Public Interest Oversight Board, which oversees efforts to develop international standards for the accounting profession, today announced that…
RS drops request for exemption from “best-price” obligations submitted in Dec. 2007
The Alberta Securities Commission (ASC) has banned trading in or purchasing of securities of CMKM Diamonds, Inc. and denied the company the use of any…
Permanent exemption pending oversight by ASC
U.S. regulators are warning international investors that advance-fee fraudsters are impersonating regulators as part of their scams.The Financial Industry Regulatory Authority issued an updated investor…
CIBC World Markets, TradeStation., and E*Trade Securities fined for order audit trail violations
Russell tells Toronto audience the CSA is the place to start
Comments due June 13
Rule would be phased in over three years
CFTC looks into investor allegations
Commission releases full statement of allegations
A joint U.S.-EU committee, known as the Transatlantic Economic Council, calls for greater integration between the two economic powerhouses, including their respective securities markets.The TEC,…
Conditions take effect June 12
In a report published today by the Committee on Payment and Settlement Systems, central bankers highlight the need for further action to reduce foreign exchange…
New notice addresses misleading statements
Model imposes charges to recover operational and capital costs caused by introduction of multiple marketplacesCanadian securities regulators have approved the allocation model developed by Market…
Notice focuses on issuer disclosure
The Alberta Securities Commission (ASC) is urging Albertans to “Check First” before they make a decision about where to invest their income tax refunds.During the…
Men are more likely to have been defrauded more than once
Regulator alleges Gold-Quest International ran US$27 million Ponzi scheme
The New Brunswick Securities Commission announced that it has been granted membership in the Council of Securities Regulators of the Americas.
Several Wall Street firms were sanctioned by NYSE Regulation Inc. for certain violations related to their front-end systemic capture systems.All of the firms (Bear Stearns…