Lower fined $50,000
Financial industry associations stress the importance of coordination between G20 countries
Pre-budget recommendations to finance committee include lowering the capital gains tax
Award winner to be announced in September
Regulators to meet in Basel
IIAC establishes Steering Committee to provide input
Retail business suffers set back
A hearing panel of the Investment Industry Regulatory Organization of Canada has found that Toronto rep had undisclosed financial dealings in accounts at another firm.From April 2003 to August 2005, Julius Caesar Phillip Vitug engaged in business conduct or practice which is unbecoming or detrimental to the public interest in that he had an undisclosed […]
Corporate bond issuance down 43% in 2008
Having an effective compliance program is the only way firms can meet their regulatory responsibilities, the SRO says