Firms must now establish, maintain and enforce policies and procedures designed to achieve matching of institutional trades on the day the trade was executed
The regulator intends to advance recommendations to address unintended impact of new standards
Klaus Offenbacher and Bruce Kaminski artificially increased the market price of a stock
Discussion focused on developments in international and U.S. accounting standards
The commission is seeking to beef up its enforcement abilities and its efforts to protect retail investors
Fund manager is given until Oct. 1 to terminate funds, offer new ones under exemptions
But the fund must provide alternative discloser outlining cost of investments, among others
Rule strikes “the right balance between protecting investors, and fostering fair and efficient capital markets”
Amendments don’t include rules for derivatives and accelerated buy backs in connection with normal course issuer bids
Beneficiaries were victims of Edward Jones’ failure to adequately disclose revenue payments from a select group of mutual fund companies
Too easy for investors to be drowned out in a chorus of well-financed voices, Wilson laments
Agreement provides clear mechanisms for consultation, co-operation and exchange of information between the two agencies
U.S., UK regulators sign protocol for sharing information on application of IFRS
More than $600,000 distributed under Civil Forfeiture Law
Two other charges not supported by evidence
Most of the companies being peddled are not even incorporated in China
St-Gelais, Murray to serve two more years
The UK’s Financial Services Authority published a paper today setting out its current thinking on its move towards a more-principles-based regulatory regime. The paper accompanies…
Canadian financial institutions can add more foreign experts to their boards
Joint notice with RS outlines proposal for trade-through regime
Regulator imposes permanent ban on Puccini
Former 3macs broker failed to ensure that client orders were within the bounds of good business practice
Biddell agrees to pay $15,000 to settle illegal distribution charges.
Insurer implements a new procedure data collection and transmission
Amendments advance harmonization and streamlining of securities legislation across Canada