The U.S. Securities and Exchange Commission charged 38 defendants for involvement in a series of fraudulent schemes involving phoney finder fees and illegal kickbacks in…
The Investment Dealers Association today said it will hold an Oct. 22 hearing in Montreal to consider a settlement agreement with Dan Ionescu, a former…
The U.S. Securities and Exchange Commission has passed final rules defining how banks can act as securities brokers, in hopes it will spur more competition…
The U.S. Securities and Exchange Commission announced settled enforcement proceedings against HSBC Bank USA that will see the bank pay a US$10 million civil penalty…
Alberta’s government has publicly released the final report of an expert panel asked to examine the province’s energy royalty and tax regime.The report provides recommendations…
Proposal is designed to stave off U.S. IPOs on TSX and London market
Trading costs could slide if markets truly integrate, group says
The U.S. regulator is aware of the problems and agrees to make changes
Exchange aims to reduce its annual costs by 100 million
New guidelines correct errors from previous version released in December 2006
The relief allows the funds to invest up to 20% of net assets in the debt issued, or guaranteed fully, by supranational agencies of foreign…
Vance Elder knew, or was wilfully blind, to the fact his administrative assistant signed client signatures, as well his, on client account documentation
New methodology determines a customized margin rate for each listed equity
Concerns that some registrants have raised about the lack of communication from SEC examiners also considered in GAO report
Although hedge fund failures are not uncommon, they typically don’t have systemic implications
Previous IDA hearing panel had found firm guilty of failing to co-operate
A report released on Monday found that over a year, 100% of the seminars were actually sales presentations
New U.S. SRO will look at brokers using “professional” designations and at early retirement seminars aimed at misleading and defrauding investors
Relief issued by four provinces so far
Comments due Oct. 9
Laval woman misappropriated client funds
Kuhn convicted in Cayman Islands court for theft of investors’ funds
Court finds reason to doubt correctness of June decision
Central bank continues to closely monitor financial markets