Industry players consulted by the Alberta Securities Commission believe the Fair Dealing Model (FDM) proposed by the Ontario Securities Commission is unworkable and unjustified.In a…
Ratings to be incorporated into TRACE system
Bulk of comments express support
Thomas J. Hunt also permanently prohibited from approval
New powers support continuous disclosure regime
U.S. securities firms must designate chief compliance officer
Each fund to receive proportionate share of payments
Quebec enrolment deadline set for January 1
Transfer makes better use of unit’s expertise
Brokerage to pay US$2 million for undisclosed cash payments to advisors; TD says it regrets its oversight
Survey will determine which managers to review
Firms must address potential conflicts of interest
Regulator alleges market timing violations
Showers deceived clients about account performance
The Canada Revenue Agency said today that it is committed too delivering essential services during a strike by 22,000 permanent and several thousand term employees…
Firm sold mortgages as investments without registration
Firm allowed certain customers to purchase funds after market close
Alleges duo operated investor Ponzi scheme
May change sorts of cases that can succeed in other provinces
ASC says some improvements needed at IDA, MFDA
The Ontario Securities Commission is proposing changes to the rules dealing with trading during distributions, takeovers, and other major transactions.A year ago, the OSC published…
Continuous disclosure review shows quality of financial information circulated in market is good
Seeking comment on new proposal until Nov. 15
CSA says amendment out for comment until Dec. 10
Ontario appeal court reverses decision on compensation