The Canadian Investor Protection Fund has signed a mutual cooperation agreement with its U.S. counterpart, the Securities Investor Protection Corp.The CIPF, which maintains a fund…
Fleet Securities fined US$100,000
Stem from investigations by U.S. Attorney’s Office, SEC
The Financial Services Commission of Ontario has published a policy governing Ontario Locked-In Retirement Income Funds. FSCO notes that pension legislation provides that a former…
Survey shows 92% satisfaction rating, up three points from 2002
Agrees to settlement with SEC
Chang, spouse to pay $1.5 million to settle insider trading charges
Back ASC execs Sibold and Linder
The Ontario Securities Commission has granted an exemption to TradeWeb LLC, allowing it to register as an international dealer without following the requirement that it…
Amended deal replaces 2002 version
Clearing agency designation unchanged since issued in 1997
Will simplify process for firms and individuals, CSA says
Move follows SEC decision to do same to the NASDAQ
Attempts to induce aftermarket purchases during restricted period are prohibited, SEC reminds industry
IOSCO conference comes to end with “landmark decisions”
Management of conflicts not the responsibility of the regulator
Urges firms to improve their procedures for determining what constitutes new product
Will allow broker-dealers to continue to provide broad array of investments to clients
Goal is to ensure nvestors get best price on electronic trades
Ontario court decision dealt only with plan proceeds following death of planholder
Bourse’s jurisdiction didn’t extend after rep left industry
LSIF reports $46 million decline in net asset value
Regulators to share information
Securities Industry Association says plan an effective model for delivering information via the Internet