A new section of the Securities Act (Alberta) will require that most settlements made by other Canadian securities regulators are automatically put into effect in Alberta as well.
The Ontario government is reviewing the regulation of financial advisors and as part of this process, has released an Initial Consultation Document.
Aequitas NEO Exchange opened a listings platform for capital raising companies and investment products last week.
The British Financial Reporting Counsel is investigating KPMG for its audit work at Bank of New York Mellon, reports Reuters.
IIROC is releasing proposed amendments to the Universal Market Integrity Rules (UMIR) for comment, to align with a proposal by CSA that clarifies the interpretation of a protected order.
On April 16, 2015, an IIROC hearing accepted the settlement agreement, including penalties, entered into between IIROC staff and Daniel Siska.
The Investment Canada Act, which screens foreign acquisitions of Canadian companies, doesn’t serve the interests of Canadians, finds a study by the Fraser Institute.
Independent fund committees can help shut down conflicts of interest before they happen.
IIROC has released its third annual enforcement report.
The Securities and Exchange Commission has announced fraud charges against an investment adviser and her New York-based firms.