The National Association of Securities Dealers today announced that it has fined two Fidelity broker-dealers US$400,000 for preparing and distributing misleading sales literature promoting their…
Regulator warns about investment schemes
The Commodity Futures Trading Commission and the North American Securities Administrators Association issued a joint investor alert to warn of the dangers facing retail investors…
FSA sets further deadline of December 2008
Reasonable for regulator to conclude that Ochnik engaged in an RRSP/loan scheme and traded while unregistered and without a prospectus
Firm to pay US$16.8 million for financing of hedge funds’ illegal market timing
The Investment Dealers Association of Canada (IDA) today released “Due Diligence Guide on Principal-protected Notes”. The Ggide will assist investment dealers in meeting their know-your-product…
The May 18 event will focus on issues facing seniors as they prepare for, and enjoy, their retirement
Credit Suisse banker illegally gave non-public information to a person believed to be a Pakistani banker
Rankin was charged with 10 counts of tipping and 10 counts of illegal trading
Report reveals that OSFI needs to improve its ability to deal with emerging actuarial issues among others
Focusing on outcomes rather than processes is the best way to ensure that regulation works, it says
The New Brunswick Securities Commission has ordered Baskin Financial Services Inc. to pay an administrative penalty of $35,000, $3,600 in past registration fees plus costs…
Registration applicants could be exempt from the 30-day or 90-day training programs if they meet certain criteria
The St. Louis broker-dealer will have to pay a total of almost US$4 million for failing to supervise some registered rep
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