Offshore trading platforms are unregistered and unregulated
The CRA has denied more than $5.9 billion in donation claims from taxpayers who participated in gifting tax shelters
Investor alert against Sterling Grace rescinded
U.s. regulator to focus on fraud and sales practices, among other issues
The firm has agreed to continue co-operating with the New York attorney general’s insider trading investigation
Ottawa is proposing to make financial firms report international electronic funds transfers of at least $10,000 to the CRA
The changes are aimed at enabling more effective oversight of debt trading
The regulator’s goal is to enhance overall compliance at firms that don’t belong to a self-regulatory organization
Fourth quarter activity was particularly strong
Panels to discuss vote reconciliation and end-to-end vote confirmation