The B.C. Securities Commission on Tuesday published for comment rules that would implement many of the provisions of its new regulatory model.In May, the province…
Firm agrees to pay US$90 million
List aims to answer common questions
Harper prohibited from acting as director, officer
Forget plan to shorten settlement cycle
Securities Industry Association head stresses importance of transatlantic market
Trust, savings companies profits down, insurers post gains
OSC says Sahil Celly violated insurance regulations
Lacks competence, solvency and integrity, OSC says
Commission asks: have fund dealers outlived their usefulness?
The Ontario Securities Commission is inviting market players who may have been involved in dodgy trading around pending private placements to turn themselves in —…
Regulators cite "significant investor protection concerns"
Study shows little evidence which is best
SEC seeking comment on straight-through-processing paper
European securities regulators group says making market fully functional a priority
Firms have a year to get ready for June 2005 start
The Autorité des marchés financiers is charging two men with carrying on business as securities dealers and distributing securities without a prospectus.The Quebec regulator said…
Settlement hearing set for June 11
Rules against Hampton Securities Ltd. and employee
Ruling to be appealed to Supreme Court
Says federally regulated financial institutions may do so directly under certain conditions
Defendants to appear in court in July
Regulator cites role in $1.25 million loss
Compliance ruling stands
Says officers issued misleading financial statements