U.S. Attorney's Office for the Southern District of New York enters into agreement, bank to pay US$675 million to settle non-prosecution agreement
Notice represents OSC staff's views on the interpretation of certain requirements of Ontario securities law that apply to ASDPs
Various issuers and counselors have expressed uncertainty with defence requirements
As of July 1, reports will be available on SEDAR at the same time preliminary prospectus is made public
The order stems from several deficiencies in the exchange’s surveillance program from 1999 through 2002
Quebec regulator has no connection to e-mail circulating on the Web bearing its name
Fines stemming from illegal activity in the auction rate securities market
Individual arrested for alleged insurance fraud scheme
New rules in force June 1
Bill brings transfer laws under a single act
Executive compensation is getting tougher for investors to understand
Market participants obliged to keep CDS information confidential
Fund dealer considered to be providing discretionary management
Applications are due by June 30
MEDAC recommends co-operation with AMF
Proposed Derivatives Act would be based on core principles
Four new members join committee
Changes reflect Base II
CEO Gordon fined $150,000 and ordered never to supervise again
Advisor meetings scheduled for August 16
Investors urged not to let embarrassment prevent reporting of fraud or abuse
Firm failed to update its systems for determining its short-interest position
IDA board would be made up of equal numbers of industry and public directors
The U.S. Securities and Exchange Commission today extended the compliance dates for a series of initiatives designed to modernize and strengthen the national market system…
Regulator will issue guidelines for companies