Much more cooperation among world securities regulators
Proposed rule sets out specific standards and timelines for firms
Abusive short selling not a problem in Canadian marketplace
Regulator undertaking new selection process in approving nominations to the boards fo CDS, FundSERV, and OBSI
Morrison fined for failing to give information to investigation
IIROC panel terminates company’s membership
An appeal panel of the Investment Industry Regulatory Organization of Canada has reduced fines against a Vancouver-based CFO who argued the penalty against him was unreasonably high, IIROC announced on Wednesday.In March 2008, an IIROC hearing panel found that Mark Lotz, former CFO of Golden Capital Securities Ltd., submitted false information to the IDA and […]
IIROC calls for compliance consultant to be put in place
Regulator plans to integrate trading rules into new consolidated rulebook
Boswell handed permanent ban