The new federal disclosure regime governing principal-protected notes was published today in the Canada Gazette.The new regime, which takes effect July 1, updates a disclosure…
Interactive DVD shows negative consequences of falling victim to a scam
The U.S. Commodity Futures Trading Commission announced the formation of an inter-agency task force to evaluate developments in commodity markets.The CFTC says that the group…
New law requires licensing of all payday lending industry operators and bans controversial lending practices
Industry to provide views on index trading and energy trading on foreign boards of trade
IDA, RS combine to form Investment Industry Regulatory Organization of Canada
Regulator enhances disclosure requirements
Client funds not invested as promised, police say
Regulator reached 16,900 of people with 54 presentations, NASAA says
Restructuring plan expected to be completed by end of June
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