Nova Scotia’s Finance Minister, Michael Baker, has introduced amendments to its Securities Act, which are designed to help to protect investors and harmonize the province’s…
Agency currently auditing many gifting arrangements
Regulator calls for a radical simplification of the rules
Regulator investigating alleged unregistered trading
B.C. rep loaned funds to a client without firm’s authorization
Hearing set for November 7
Hearings could continue with just two members
Number of continuous disclosure reviews up 19%
Prospective and previously approved CCOs would have to pass qualifying exam
Electronic reporting of enforcement and compliance related information would benefit members, regulator says
Kearl illegally distributed Canglobe shares
Regulators propose to delete record-keeping requirements
New version reflects many changes
Applications by other information processors under review
NASAA to cut system fees paid by investment advisor reps
McLaughlin, Piven and Vogel Securities agrees to repay customers
Investors urged to carefully monitor online trading accounts
Kim given six-month suspension
Fine is largest ever imposed by NASD against an individual for market timing
Recognition as a securiites exchange called a significant milestone
Industry practices have begun to change
Hanna to assist Dickson
Former CEO sentence to 24 years in prison
Regulators publish results of SEDI user opinion survey
CSA notice outlines issues requiring further examination