The New Brunswick Securities Commission has issued a permanent cease-trade order against Meisner Inc. S.A, Meisner Corporation, Meisner Incorporated, Jorge Vizcarra and George Dizcarra. The…
NBSC to take another look at personal corporations rule
Richmond B.C. broker fined $45,000 and handed six week suspension
Janney Montgomery Scott engaged in away-from-market stock loan transactions
Beaudoin fined $35,000
Trichet calls all parties to keep their composure
Deadline for applications is September 28
Exemption subject to conditions
Memo outlines architecture for ongoing relationships among regulators and the OmbudServices
CIFPs firms permitted to pay a portion of direct costs incurred in organizing and presenting annual national conference
Company director failed to file insider reports
Scotia clear to acquire 10% of voting shares of First BanCorp.
Central bank says if will provide liquidity to preserve market stability
Third dividend increase in two years
Fines total US$710,000
Summary of changes posted to FINTRAC Web site
Ontario broker alleged to have invested client GIC funds in the stock market
Mississauga rep traded in off book private placements
Suterwalla made over US$3 million in illicit profits trading in Petco Animal Supplies
Saxon Consultants, Merchant Capital Markets and Meisner Corp.
Hearing scheduled for September
The U.S. Financial Industry Regulatory Authority today announced that it has fined Morgan Stanley DW Inc. (now known as Morgan Stanley & Co. Inc.) US$1.5…
Elections for 3-year transition board to be conducted on October 26
Owners of existing LIFs no longer required to purchase an annuity by the end of the year in which they reach 80
Marchman to lead enforcement division