The Canadian Securities Administrators has made a series of rule amendments that make it easier for dissident shareholders to solicit proxies.Amendments have been made to…
New rule expected to take effect on Dec. 15
The North American Securities Administrators Association said that several of its members have been conducting investigations involving auction-rate securities and are coordinating their efforts to…
The Alberta Securities Commission (ASC) has prohibited Calgary resident Brian Paul Kuhn from relying on any exemption contained in Alberta Securities laws until Sept. 30,…
Commission urges examination of new investigative powers for police
No determination yet on whether disciplinary action is warranted
The U.S. Securities and Exchange Commission announced the launch of its latest offensive targeting online boiler rooms, cold calls, and other potentially fraudulent financial solicitations.The…
42% jump in number of youth registered to win scholarships
Further rules proposals on the way, regulator says
Report provides examples of current leading practices in reporting exposures to ABCP
Firms still awaiting a nod from the OSC
Recommendations could ease credit crisis
An Alberta court has found investment dealer Union Securities Ltd. liable in a case where a client invested in a company that was subject to…
Proposed framework is designed to be closely harmonized with U.S. legislation
In the wake of recent episodes of so-called “rogue trading”, the Financial Industry Regulatory Authority issued guidance to firms outlining best practices for detecting and…
NYSE Regulation today announced disciplinary actions against a trio of high-profile Wall Street firms for a variety of rule violations.The exchange sanctioned Merrill Lynch, Pierce,…
A British Columbia Securities Commission panel has banned three individuals from the province’s capital markets who violated securities laws when they illegally distributed the shares…
Former NYMEX director gets five months in jail and five years probation
Fund Reader tool available online
Canada on target to transfer to IFRS by 2011
Ontario regulator looking for comments
Regulator to focus on ABCP market, mutual recognition framework
Concern that the markets may not be ready to meet the new matching requirements
Advance application period now open for new licenses
Westman made unsuitable recommendations to two clients