The Financial Industry Regulatory Authority announced that it has censured and fined Wachovia Capital Markets, LLC US$300,000 for violations of FINRA’s research analyst conflict of…
The International Organization of Securities Commissions published the report of its Technical Committee’s Task Force on Private Equity today, highlighting plans to focus further work…
Angus appointment takes effect in January
Consistency across jurisdictions proved the biggest challenge, panel says
Canada, U.S. could do with fewer securities regulators, Levitt says
Cooperation, coordination and consistency must improve across jurisdictions, Wilson says
Ionescu failed to exercise due diligence in hedge fund investment
The B.C. Securities Commission reports that various amendments to the province’s Securities Act have received Royal Assent.The amendments are designed to: harmonize with other provinces;…
The SAC provides advice to the commission and staff on a variety of matters including legislative and policy initiatives and capital markets trends. It also…
Regulators seek comment on amended proposal
Proposed regulations to be released tomorrow
The Alberta Securities Commission (ASC) has issued a blanket order to provide relief for venture issuers from certain certification requirements currently outlined in Multilateral Instrument…
Insurers likely to encounter similar hurdles
Djordjevic fined $50,000 for forging client’s signature
New SRO would combine regulatory activities of IDA and RS in a single organization
The U.S. Securities and Exchange Commission reported that it has distributed US$31.5 million to more than 150,000 investors who were harmed by undisclosed mutual fund…
The Mutual Fund Dealers Association of Canada has announced four new members of its Policy Advisory Committee.The MFDA PAC provides advice, comments and reports to…
Rusnak acting as director for nine issuers despite 20-year prohibition, judge finds
Mendelson pleads guilty to fraud
Principles aimed at strengthening controls, oversight and independence of the valuation process
MFDA hearing panel approves settlement agreement with Moro
Action follows 20-year ban imposed by BCSC
Two of the bank-owned fund companies have received regulatory relief allowing their funds to continue trading mortgages and mortgage-backed securities with their affiliates.In decisions reported…
Harmonized rule removes detailed bid provisions from statutes and substitutes general “platform” provisions
Regulator finds non-registered individuals providing account services and advice to clients