The National Association of Securities Dealers announced today that it has fined USAllianz Securities US$5 million for widespread deficiencies in its supervisory system and for…
Firm failed to co-operate with regulator’s investigation
Flaherty announces new collaborative steps with provincial and territorial finance ministers
Changes make anti-money laundering regime consistent with new FATF standards
Regulator postponing Section 404 reporting requirements
The Canadian Securities Administrators have published a notice dealing with reporting issuer defaults.The regulators note that they have developed a harmonized list of deficiencies that…
The U.S. Securities and Exchange Commission has voted to adopt amendments to its proxy rules that would allow companies to deliver proxy materials to shareholders…
Dehring Bunting & Golding is the largest equity broker in Jamaica
Jobless claims drop by 20,000
Proposal intended to provide more clarity and certainty to foreign issuers
Proposed amendments clarify auditor’s reporting requirement
Edward Jones, RBC Dain Rauscher, Royal Alliance, and Morgan Stanley to pay US$43.8 million
The disciplinary committee of Montreal Exchange has fined a former registered representative of BLC Securities Inc. and Laurentian Bank Securities Inc. $50,000 for excessive trading…
Company illegally lured retail investors into high-fee program, attorney general says
Alleges firm issued misleading information concerning soil remediation contract
More money ordered returned to investors
BCSC fines two men at total of $65,000
Motion to be heard in Feburary
The Ontario Securities Commission has ordered a group of Ontario residents to stop selling offshore investment products after discovering more than $23 million has been…
Canada should try to develop a comparative advantage in securities regulation for smaller firms
Salvail-Lopez steps down for medical reasons
The Canadian Securities Administrators have published a report reviewing their oversight of self-regulatory organizations. It makes a number of recommendations for improving self-regulation, and its…
Regulator issues draft guideline, seeks comments
Margot Howard was portfolio manager with AMI Partners; Kevin Kelly was president of Fidelity Investments
IDA imposes $80,000 fine