The British Columbia Securities Commission has banned a husband and wife from the securities market after they admitted to illegally distributing securities.Johnathan Lam Wai Tsang…
Former officer permanently barred from registration
Shareholders meeting scheduled for November 24
The Securities and Exchange Commission announced today that it has filed an enforcement action against Conrad Black, foomer chairman and CEO of Hollinger, accusing him…
Task force finds strong support from securities industry
Continuous disclosure and proxy solicitation requirements for investment funds to remain unchanged
Revenues cut by deferred fee increase
Says small and medium-sized firms are less well prepared
Detailed disclosure of conflicts of interest, tightening of procedures at issue
Current system of duplicative regulatory schemes means higher costs to investors, SIA says
FSA outlines which services may not be paid for from commissions
Quebec court upholds Girard defence
Amendment filed with SEC
RS sets deadline of December 1
Nadeau threatened with contempt of court charge
Revenues $11.6 million higher than forecast
Regulatory Issues Committee responsible for ruling on applications
Recommend continuing relief from sales practice rule
Lower filing charges for mutual fund issuers effective January 1
Industry and regulators must work together, Donaldson says
Anderson receives reprimand
FirstLine Mortgages; Laurentian Bank
New rules effective April 2005
Payment to SEC relates to charges of proxy disclosure violations
Annual report tabled in Parliament