Regulator calls release of expense reports “in the interests of transparency”
Global Genius insider fined $5,000
Investors get opportunity to improve complaints system
Calls Montpellier’s actions “conspicuously offensive”
Ontario regulators approved new corporate governance measures proposed by the TSX group today, and published a series governance-related rules for comment.The Ontario Securities Commission reported that it approved amendments to the TSX Company Manual relating to corporate governance. The amendments provide that listed issuers will be required to disclose their corporate governance practices, and that […]
Chang, spouse to pay $1.5 million to settle insider trading charges
The Ontario Securities Commission has granted an exemption to TradeWeb LLC, allowing it to register as an international dealer without following the requirement that it must act as underwriter in another jurisdiction.The exemption order notes that TradeWeb, a New Jersey-based broker dealer, has filed an application for registration as a dealer. It is not presently […]
Improved enforcement, focus on the retail investor among priorities
Amended deal replaces 2002 version
Clearing agency designation unchanged since issued in 1997