The Autorité des marchés financiers announced that the Quebec’s finance minister has ordered the liquidation of the assets of ZENITH Stable Value Growth Fund.The decision…
Year-to-date results are stronger than budget targets
Deposit agent rule remains on hold
Industry comments sought
Regulator imposes permanent ban on CEO English
Investor protection will be enhanced and red tape will be reduced as a result of a British Columbia government decision to continue to work with…
Council hears from Ontario’s Crawford
Order extended for 90 days
Insurer will pay SEC, New York State over accounting case
Alleged violations include failure to supervise suspicious accounts
Saskatchewan regulator rules SRO lacks jurisdiction
U.S., EU working to eliminate IFRS to U.S. GAAP reconciliation requirements
Dealer ordered to pay $US100,000 penalty
Sanford Bernstein violated analyst conflict of interest rules
Court rules in regulator's favour
Proposals move towards establishing single market
Gorrie given one-year ban for illegal insider trading
Hart facing criminal charges
SEC alleges National Clearing officers deceived fund companies
Amendments aim to increase compliance with Regulation SHO
Dealer used non-registered salespersons
SEC alleges five men helped AIG mislead investors
CSA issues report on enforcement activities
Board gains ability to create new standing committees
20 firms fined for operational failures and supervisory violations