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
More comparative reviews also planned
Regulators likely to be "skittish" about enlightened rule changes, says IIAC
Delage terminated from Polaris
The Office of the Superintendent of Financial Institutions has published a proposed new framework for setting capital requirements in the insurance industry.In a letter to…
The North American Securities Administrators Association announced that its membership has approved a new model rule prohibiting the misleading use of senior and retiree designations.The…
State regulators oppose Paulson blueprint
Application process set up for Investment Industry Regulatory Organization of Canada membership
Structured credit market is likely to survive
Market participants asked to monitor internal controls
Responses due April 30
$100,000 club keeps getting bigger at securities commission
Discussions between SEC and Australian authorities represent first step toward possible bilateral arrangement