The Ontario Superior Court of Justice has denied a motion by BMO Nesbitt Burns Inc. seeking an injunction against two former investment advisors that jumped…
Grants exemption from restrictions for securities that are also listed on U.S. exchanges
Industry group to representatives of from sell-side and buy-side
Agents required to complete the questionnaire by July 27
Regulator questions fairness of trading strategy
Court upholds regulator’s decision to order Assumption to cease doing business through unregistered dealers
Rempel illegally sold $1.2 million in securities to local investors
Regulator imposes two-year suspension
Starr fined $18,000 for illegal distribution of securities
Investigation held up for eight months due to dissent
New regulations will make the tax system more efficient
Businessman admits to market manipulation
Plans include reviewing the regulatory framework
Mortgage brokers and agents will be able to apply in anticipation of the new act
Changes will affect foreign private firms using IFRS
Disclosure of compensation practices is particularly weak: report
Regulators review audit committee composition and responsibilities
Regulator clarifies intention to examine alternative securities regulatory approaches to specifically include principles-based regulation
Amendments approved by OSC
A British Columbia Securities Commission panel have imposed sanctions against a former Vancouver-based securities salesperson who failed to ensure that certain speculative and illiquid investments…
The U.S. Securities and Exchange Commission today announced that early results from the Penny Quoting Pilot program show lowered trading costs for retail trades. An…
Financial Institutions Group – Deposit Taking Institutions challenged by risk focused supervisory methodology
Bonds provide benefits, but raise concerns, regulator says
Firms fined over US$1.2 million