A former managing director with Canadian Imperial Bank of Commerce agreed to pay US$528,750 to settle Securities and Exchange charges brought in connection with the…
An Ontario Securities Commission hearing panel has ruled that merely arranging a meeting to hear about a possible investment opportunity does not necessarily constitute “acting…
The National Association of Securities Dealers has censured and fined Piper Jaffray & Co. US$2.4 million for engaging in “spinning” initial public offerings. The Washington-based…
Financial institutions’ reputations, operations at risk, office says
Robert Binnington cheated clients out of a total of US$1.2 million and $410,000
Aim is to reduce risk plan members will not receive benefits promised
IDA wants to recognize additional course, eliminate duplication
Only one comment letter received, from Swift Trade Securities Inc.,
AMF says Victor Darac faces 17 counts of having violated the Québec Act
Minority status shouldn’t get in way of dealing with contentious issues
No new types of problems, but what’s out there is more widespread
Focus is on pension giant's investment in Borealis Capital Corp.
SEC files civil charges against former Enron chairman
Sign agreement to exchange information
Nadeau summoned to answer contempt of court charge
Britain’s FSA sets up hotline for complaints about financial products
Monarch Delaney says compliance issue resolved by time it was reported; OSC stands by its order
Donnelle J.L. Loewen also fined $50,000 plus costs
AMF issues order against Elite Insurance Co.
National harmony, more risk-based regulation, regulatory reforms, and improved service. Those are things the Financial Services Commission of Ontario would like to see in the…
Province considering minimum proficiency standards
Three new provisions for investor protection
Must pay US$50 million in disgorgements and penalties
Settlement appropriate in light improper professional conduct, SEC says