Corporate finance, institutional fund management and investment and pension advice incurred the highest incremental regulatory costs
IDA head also stresses merits of establishing national securities regulator
Firm will pay $10 million penalty for failing to prevent the misuse of inside information
More generically written regulations that put the onus on registrants to act in the best interest of their clients are needed, says BCSC chairman
Finance minister gather in Niagara-on-the-Lake
On June 16, the Alberta Securities Commission issued orders pursuant to the reciprocal enforcement section of the Alberta Securities Act against Michael Ernst Ruge and…
Rule sent back for reconsideration
Sandink misappropriated client funds
Olympus United, iForum and Tandem Wealth
Files charges against two firms
Written disclosure must be provided to clients regarding potential conflicts that have been identified
Hearing scheduled for July 5
Company settles with OSC
Oklahoma trader pleaded guilty to securities fraud charges
The Autorité des marchés financiers reports that the Bureau de décision et de révision en valeurs mobilières issued, at the AMF’s request, a freeze order…
Ministers to meet in Niagara-on-the-Lake later this month
Many forms of cross-border mergers would not result in mandatory registration of a non-U.S. exchange
Regulator completes compliance review
The Investment Dealers Association of Canada is amending the by-law governing its Discretionary Fund to clarify which costs it can cover.In the latest OSC Bulletin,…
Single securities regulator one topic of discussion
Proposals ignore banks' insurance demands
Regulator alleges improper trading in Florida penny-stock scam
Council of Ministers extend invitation to Ontario
Regulator seeking comment from fund industry
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