Regulator also suspends former director of research; Files complaint against analyst
MFS Investment Management’s Pozen to chair committee
Exchange stands by its finding of unsuitability
Division would split fee-based advisors as “independent”
Regulations to come into effect in two stages
GLG Partners LP, a hedge fund firm that announced plans to go public yesterday, today agreed to settle with the U.S. Securities and Exchange Commission.The…
Anderson fined $250,000 for securities fraud
Will pay US$2 million penalty; $US19 million in disgorgement
Appeals would be directed to securities commissions or courts
Regulator issues temporary order
Ministers to examine separating adjudicative and regulatory functions
New deadline is July
Smith defends passport model
Discussion paper now online
Regulator also orders firm to identify and pay restitution to 1,300 customers
Montreal rep permanently banned from approval for failing to cooperate
Police allege Lewis concealed trading losses and stole investors’ capital
Finance minister stresses importance of creating a Canadian advantage in global capital markets
Regulator proposes eliminating disclosure requirements
Bank allegedly violated National Flood Insurance Act
Medicine Hat handed five-year cease trading order
Decision to appeal under review
Proposed document would highlight a fund’s performance, risk and cost
Harmonized regulatory framework part of passport system