A settlement hearing in the matter of Jarnail S. Kahlon was held this week in Toronto.
The OSC has published a family, friends and business associates prospectus exemption which is expected to provide a cost-effective way for issuers (other than investment funds) to raise capital from their networks of family, close personal friends and close business associates. Subject to Ministerial approval, the exemption comes into effect on May 5, 2015.
The Canadian Securities Administrators (CSA) has announced the adoption of two sets of amendments to National Instrument 45-106 Prospectus and Registration Exemptions (NI 45-106).
The Canadian Securities Administrators (CSA) has released its 2014 Enforcement Report, detailing the overall enforcement work done by CSA members against those who breach Canada’s securities laws. In 2014, CSA concluded a total of 105 cases against 92 individuals and 189 companies.
Members of the Canadian Securities Administrators (CSA) have published for comment Proposed National Instrument 94-101 Mandatory Central Counterparty Clearing of Derivatives.
IIAC looks at the main reasons Canada needs a national regulator.
Leaked files have revealed HSBC’s Swiss banking arm has allegedly been helping clients dodge taxes.
Canada and Singapore are currently the best regulatory jurisdictions for financial services firms.
Every month, IIROC publishes the floating and tracking error margin rates for Canadian and U.S. index products.
The OSC today published final amendments to OSC Rules 13-502 Fees and 13-503 (Commodities Futures Act) Fees following careful consideration of comments received on the proposed amendments, which were initially published in September 2014.