The Office of the Superintendent of Financial Institutions (OSFI) has issued a notice concerning the adoption of International Financial Reporting Standards (IFRS) by federally regulated…
Decision based on “exceptional circumstances”
The government of Ontario has published for comment the draft amendments that are required to implement registration reform.On February 29, the Canadian Securities Administrators published…
Paper highlights critical issues in firms’ ability to identify risk concentrations
The Investment Dealers Association of Canada is extending the comment period for its so-called Client Relationship Model (CRM) to the end of May.The CRM, which…
Rumor sparked heavy trading in Alliance Data Systems
Allegations against “unnamed” brokers going unreported
Complex products can lose their value if a triggering event occurs
The UK’s Financial Services Authority is warning firms that they must do more to help prevent their customers falling victim to identity fraud and other…
Locate, Tubtron distributed securities without fully complying with Alberta securities laws
Regulator does not oversee firms that created non-bank ABCP: Dickson
Deadline for submissions is July 15
Three residents fined and banned from trading
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