The North American Securities Administrators Association is soliciting comment on a proposed model rule concerning the use of senior-specific certifications and professional designations. The proposed…
The Investment Dealers Association of Canada has published for comment proposed complaint-handling rules.The IDA’s proposed rule seeks to establish specific requirements for the client complaint…
Maitland Capital president ordered to pay $290,000 penalty
Canada is lagging a number of Asian countries
Regulator recommends firms adopt key practices
Regulators focusing on whether standards are likely to contribute to high quality audits
The International Organization of Securities Commissions has launched a task force on the subprime crisis to review the issues facing securities regulators following the recent…
Amendments aimed at aligning tax law with new ASB standards
Lacroix and Ferruci convicted and fined
An Alberta Securities Commission panel has permanently banned two men who operated in the Red Deer area from trading in the Alberta capital market for…
All judgments now available on Web site
Firm’s current and former presidents violated anti-money laundering rules
Rule changes also would end unnecessary administrative burdens for filers
Alleged violations occurred outside the six year limitation period
The Ontario Securities Commission released a report today summarizing the operational activities of the corporate finance branch for the 2007 fiscal year.The branch is directly…
Forms may be evidence that a rep is engaging in discretionary trading
Province establishes two economic task forces
The BCSC is inviting comments on the proposed rules until the end of the year
The program will help compliance chiefs ensure effective communication about compliance and maintain effective controls at their firms
Firm submitted mutual fund breakpoint data it knew was inaccurate
Expert panel to debate how to improve Canadian securities enforcement
Alberta Securities Commission staff are seeking to ban Brian David Anderson of White Rock, British Columbia from Alberta capital markets.In a notice of hearing, ASC…
The U.S. Financial Industry Regulatory Authority today censured and fined UBS Financial Services, Inc. US$370,000, for making hundreds of late disclosures to FINRA’s Central Registration…
Investor Forum marks second meeting between regulators and investors
Firms have an obligation to execute against better-priced orders on CNQ, Pure, TSX and TSXV before executing at an inferior price