IIROC wants clearer authority to collect fines across the country.
Rules for registering as a B.C. investment fund manager would change under proposed national securities rules, says law firm Gowlings.
A settlement hearing in the matter of Joseph Daniel Laurie was held today in Halifax, Nova Scotia before a three-person hearing panel of the Atlantic Regional Council of the MFDA.
The Securities and Exchange Commission has announced that two Citigroup affiliates have agreed to pay nearly US$180 million to settle charges that they defrauded investors.
Former IIROC independent director D. Grant Vingoe is now an OSC vice-chair.
On July 28, 2015, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, between IIROC staff and Amandeep Gill.
On July 7, 2015, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with sanctions, between IIROC staff and Geraldine Mannings.
Nova Scotia businessman William Black has been named the chairman of the expert board of directors for the proposed national securities regulator.
CSA has published proposed amendments that would require ETFs to produce and file summary disclosure documents.
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.