The Canadian Securities Administrators (CSA) announced today they are seeking comments on proposed National Policy 12-203 Cease Trade Orders for Continuous Disclosure Defaults.The CSA says…
Jailed trader signs deal with OSC
Berry's RS hearing starts April 21
BCSC seeks to extend temporary order against Wong
Review by UK regulator unveils four key failings
The Investment Dealers Association of Canada (IDA) announced today that following an expedited review hearing held on March 20, an IDA hearing panel has reinstated…
Biovail to pay US$10 million penalty
Framework would allow for discussions with jurisdictions with multiple securities regulators
The Mutual Fund Dealers Association of Canada has issued a notice to clarify the responsibilities of its members in servicing client accounts in the event…
Regulator seeks comment
FSA investgating possible abusive trading
The Saskatchewan Financial Services Commission reports that the national rule implementing the passport system comes into force today.The passport system rule implements a system that…
ASC may share information with SEC
Money invested in four companies “lost”, ASC panel says
Dealers may borrow from Fed on much the same terms as banks
Cochrane faces ASC for the second time
ISE vice chairman and two partners named
Kasman and Anderson must each pay $25,000
Action taken to combat "corporate hijackings"
New rule will make it easier to distribute securities across Canada, CSA says
The U.S. Commodity Futures Trading Commission announced today that it is hosting more than 50 futures industry regulators from around the world today to discuss…
A judge ejected Lacroix’s motion for appeal in a short hearing Tuesday at Quebec Superior Court in Montreal.The founder and former president of Norbourg Investments…
U.S. derivatives regulators and securities regulators announced a deal intended to improve cooperation between them, enabling them to deal with financial innovations that blur the…
FSA highlights measures firms should consider when reviewing systems and controls