Firms have an obligation to execute against better-priced orders on CNQ, Pure, TSX and TSXV before executing at an inferior price
Project will research how to mitigate common errors made by individual investors
Proposed agreement concerned allegations that Berkshire failed to conduct reasonable supervisory investigations of the activities of former rep Thow
Alberta egulator looking for similar sanctions imposed by BCSC
$34.7 million donated to community efforts
Excessive cost of existing Canadian securities regulation is highly debatable, report says
More complex tests involving more participants under discussion
A British Columbia Securities Commission panel has found that Ian Gregory Thow, a former mutual fund salesperson with Berkshire Investment Group Inc., perpetrated a multi-million…
Securities regulators update best practices to help advisors strengthen compliance procedures
Nortel will provide quarterly written reports detailing its progress in implementing its remediation plan
The Canadian Securities Administrators is implementing amendments to the national rule that sets standards of disclosure for oil and gas activities.The CSA adopted the rule,…
Court dismisses class action
“Check First” focuses on impact of an unsafe investment
Voluntary initiative designed to help firms serve customers during disruptions
An Ontario Superior Court judge has denied CIBC’s motion for costs in a mortgage default case, ordering costs for the defendant instead, branding the bank’s…
$450,000 administrative penalty was negotiated before court established $100,000 maximum limit
Illegal distribution of shares deprived investors of basic protections, regulator says
The Investment Dealers Association of Canada has issued a notice outlining changes to anti-money laundering and terrorist financing rules.On June 27, 2007, the federal government…
Budai receives lifetime ban
NYSE Regulation reports that it has disciplined several firms for a variety of violations of exchange rules, and several individuals have also been sanctioned, including…
Mirza failed to co-operate with investigation
Regulator requires a written contract between corporation and dealer
S&P executive tapped to lead regulators’s Office of Interactive Disclosure
Regulator reviews compliance with executive compensation disclosure rules
Firms will pay a total of US$10.425 million