Equisure Financial Network Inc. today announced an agreement with the Autorité des marchés financiers that will conclude an enquiry, begun last March, into the business…
Former China Diamond director fined $25,000 by BCSC
U.S., European chairmen express support for continued collaboration
Archer placed under house arrest
The Ontario legislature today passed Bill 18 which includes a number of measures that aim to strengthen investor protection and update the securities regulatory framework,…
Rule would ensure all shareholders are paid the same consideration
Order entry breached principles of trade
Canaccord rep forged client’s signature
Deceptive market timing “unfair and harmful” to mutual fund shareholders
Text messages being used to hype stocks, warns NASD
CSA notice summarizes most common deficiencies
Credentials of “senior specialists” may be suspect
Dealer fined for violating rules on political contributions
Highlights common deficiencies among small issuers
Begins proceedings against Ressouces Allican director
Council of Ministers would select board of directors, vote on rules
Rule would require intermediaries who trade in GICs to be registered
Regulators allege misleading documents used to solicit investments
Concordia prof to represent retail investor perspective
The European Commission today presented its new financial services strategy for the next five years, calling for greater convergence in rules and more competition, particularly…
Users encouraged to participate in survey
Ontario panel to reveal plan
IDA suspends securities firm
UK regulator unveils action plan