Several Wall Street firms were sanctioned by NYSE Regulation Inc. for certain violations related to their front-end systemic capture systems.All of the firms (Bear Stearns…
Off-balance sheet vehicles can no longer be ingnored by regulators
Atkins announces intention to leave regulator
Guidelines set out minimum requirements that pensions should meet when applying for a licence to begin operating
U.S. Securities and Exchange Commissioner Paul Atkins announced that he intends to leave the SEC following the end of his term.Appointed in August 2002 for…
Commission is investigating possible distribution of securities without a prospectus
OSC granted TDAM relief with several conditions
Judge concluded there was reasonable doubt in Bruni case
Reps in current cycle must satisfy CE requirements by Dec. 31
The U.S. Commodity Futures Trading Commission is seeking public comment on the appropriate regulatory treatment of financial agreements offered by so-called prediction markets.The CFTC says…
Report suggests an SEC review of market data fees
The U.S. Securities and Exchange Commission’s Division of Corporation Finance announced that it has completed its review of its cross-border tender, exchange offer and business…
Finance minister meets with bankers
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