Britain’s Financial Services Authority says it has seen some improvement in financial firms’ treatment of retail customers, but there is much more to do.Speaking to…
Temporary orders extended until May 17
Vancouver brokerage firm Salman Partners Inc. and three company officials are facing possible sanctions following a regulatory probe into alleged violations of equity trading rules.Market…
Boards are responsible for oversight, says RS chief
The Ontario Securities Commission on Friday issued a temporary order imposing further terms and conditions on the registration of Portus Alternative Asset Management Inc.The additional…
Applications due by March 1
Authority to grant exemptions lies with securities commissions, not courts
Regulators plan to have institutional trade-matching rule in force by start of 2006
Pair convicted of unregistered trading in securities
Panel considering sanctions
Bank of American to pay US$375 million; Columbia to pay US$140 million
Exchange, NASD agree to boost oversight
Hearing scheduled for February 17
Insurer liable for fraud committed by rep
Selective disclosure rule raises cost of capital for small firms
Regulator no longer accepting paper monthly filings
Firm suing former broker and client
Former Canaccord rep fined $80,000
Consulation to determine whether any action is required
Applicants may qualify for exemptive relief
Measure aims to improve quality of financial statements
Efforts underway to identify higher risk jurisdictions
OSC hearing scheduled for February 17
Read the fine print first
Alleges former Partners in Planning rep misappropriated client funds