The Canadian Securities Administrators (CSA) are seeking public comment on proposals to amend the regulatory framework for firms and individuals who trade in securities, provide investment advice or manage investment funds.
New capital raising prospectus exemptions to come in 2014.
Banks charged with violations often face multimillion-dollar fines.
Private equity is possibly the most lucrative game on Wall Street.
Canadian consumers can now keep track of which insurance firms and sales reps have been disciplined.
The Canadian Securities Administrators (CSA) today published proposed amendments to National Instrument 33-105 Underwriting Conflicts (NI 33-105).
The Ontario Securities Commission (OSC) is warning investors about solicitations made by Rosswell Group, which operates through the website www.rosswellgroup.com.
CFTC and FDIC have set voting dates.
In October, CSA proposed amendments to two policies that outline the standards of disclosure for issuers involved in oil and gas activities.
IIROC issues new trading guidance.