Edward D. Jones & Co. LP has agreed to pay US$75 million to settle allegations it failed to adequately disclose revenue-sharing payments received from a…
Regulator to penalties for late filings of insider reports
RS alleges dealer failed to detect manipulative trading
Regulator must be able to obtain records from service providers
Waxman facing 12 counts of fraud
Jarislowsky, Fraser agrees to pay registration fees
The British Columbia Securities Commission has redesigned its Web site to give investors and industry better access to information and securities regulatory services, including resources…
Strong interest in securities regulatory policy a must
New national rule harmonizes prospectus and registration exemptions
Public comments on new national rule being reviewed
Advisory committee will look into regulatory treatment of smaller companies
Aimed at ending fiscal surprises
Legislation protects trust investors from liability
Fund delear agrees to compensate investors
$156.5 million set aside for investors
Fine not sufficient, AMF says
Volumes expected to increase significantly
Hearing with four fund companies scheduled for Thursday
Daub did not intentionally mislead OSC staff
SOE disclosure intended to supplement existing accounting rules
Hearing scheduled for Thursday
Record sends “strong message of deterrence” to investment community
CIBC Financial Planning subsidiary being wound up, moved into CIBC Investor Services
Reflects holiday closures across country
Efficient financial system key to continuing prosperity