The Mutual Fund Dealers Association has extended the transition period for the use of personal corporations in some provinces, but not Alberta and New Brunswick.…
Rule pending provincial approval
Consolidated summaries must include disclaimer
Measure designed to combat market timing
Ontario finance minister linked to Royal Group
Regulator seeks comment on rule change
Shortfall in revenue due to implementation of new registration system
US$5 million earmarked for victims of misleading analyst research
Alleges Columbia Management allowed market-timing practices
Province follows Alberta, B.C. regulators
SIA applauds Donaldson
Suspicious trading under review
New deadline set for May 17
Firm ordered to pay restitution for market timing violations
Commisions may be paid to personal corporations
Joint Forum of Financial Market Regulators pushing for uniform standard of fair conduct in financial transactions
The Investment Dealers Association is proposing a rule change that would facilitate straight-through processing for trades between IDA membersThis is to be accomplished by mandating…
MFDA publishes comments about proposal to require firms to notify MFDA about termination of reps
S&P says positive trends in 2003 should continue
CSA report reviews 40 income trust issuers
Also pondering ban on soft-dollar commissions
The U.S. Securities and Exchange Commission and the National Association of Securities Dealers are sanctioning 15 of the worst offenders for failing to deliver millions…
Higher taxes will make province less competitive
Would bring them more in line with U.S., European practices
The Mutual Fund Dealers Association has released a list of the common deficiencies it found during on-site examinations of members. As well, the regulator says…