In its latest report on the quality of continuous disclosure, the Alberta Securities Commission says disclosure is acceptable, but adds there is room for improvement.Companies…
SEC says clerk tipped day traders to incoming large orders
Lawsuit filed against Cassels Brock, former managing partner
Large surplus prompts early refund
Firm, CEO fined for failing to supervise trader
Merrill Lynch, Pierce, Fenner & Smith failed to supervise brokers
Same panel previously dismissed enforcement order application
UMIR changes take effect when new OSC rule enacted
A collection of U.S. and European trade associations are getting together to work toward improved transatlantic trading. The Securities Industry Association and American Bankers Association…
Order names KPMG as receiver of hedge fund
Early redemption fees limited to 2% of shares redeemed
Topics cover outsourcing, market timing, and error trades
Goal is to improve business capability and effectiveness
Redemptions outweighed trading losses at Putnam
Calgary real estate developers alleged to have traded in securities without filing a prospectus or being registered
Canadians growing more concerned about identity theft
Regulator to consider market timing settlement
Media reports are false, says RS chairman
The Ontario Securities Commission is publishing for comment the revised application of the Mutual Fund Dealers Association of Canada for a contingency fund, known as…
Most complaints resolved at the company level
Quebec’s financial services regulator, the Autorité des marches financiers, is accusing Zurich Insurance Co. of violating the province’s Automobile Insurance Act.The AMF, which is bringing…
Blumberger to chair SBAC
Reps in Saskatchewan, Ontario to face hearing panel
Efforts will lead to greater compliance, report says
Forex Capital to pay $142,500 over unregistered trading