The Royal Canadian Mounted Police has arrested four people in Ontario in connection with an alleged fraudulent offshore investment scheme.Police have so far identified 15…
Workshop designed to help companies improve disclosure
More companies are likely to be charged in the burgeoning scandal surrounding the U.S. mutual fund industry, the head of the Securities and Exchange Commission’s…
Both tools needed for reform says CSA chairman
Regulator marks Crime Prevention Week
Clients may be due refunds on front-end loads
Amendments based on input from Trade Reporting and Electronic Audit Trail Committee
Prominent analysts slapped with permanent ban
Progress made in key initiatives
Says OSC decision on Phillip Services was "reasonable"
Missing financial information causes some concern
Gives firms six months to resolve issue
Allegations of illegal insider trading surrounding merger with Bank of America
Poirier facing additional charges for registered plans
Officers receive 10-year ban
Former portfolio managers facing securities fraud charges
Policy applies to new records only
Policy aims to give investors sufficient information for decision making
BCSC deals pair three-year ban
Corel Corp. founder Michael Cowpland has agreed to pay $575,000 to settle insider trading charges levelled against him four years ago by the Ontario Securities…
IOSCO memorandum of understanding deemed a success
Investors told to read the fine print
Regulator mulling over requiring funds to receive orders before pricing shares
Acted as dealer without being registered
Regulator weighs giving shareholders more power to nominate, elect directors