Several securities regulators across Canada have published for comment proposed amendments to both Multilateral Instrument 96-101 (Trade Repositories and Derivatives Data Reporting) and its companion policy (MI 96-101).
The OSC is inviting new applications for membership on its Continuous Disclosure Advisory Committee (CDAC).
On October 29, 2015, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a Settlement Agreement, with sanctions, between IIROC staff and Industrial Alliance Securities Inc. (IAS inc.). Read: Three compliance commandments to obey IAS Inc. admitted that it failed to take reasonable measures to ensure that two of its representatives, […]
FINRA has imposed a four-month suspension on Marco Antonio Daniel.
On December 30, 2015, an IIROC hearing panel accepted a settlement agreement, with sanctions, between IIROC staff and Gary Clarke.
Often, inexperienced investors don’t know how to choose the right advisors or where to get investment tips.
Securities regulators in five provinces have adopted a new exemption to provide retail investors with greater access to the exempt market.
The Securities and Exchange Commission has announced that Goldman, Sachs & Co. has agreed to pay $15 million to settle charges that its securities lending practices violated federal regulations.
Five of Canada's securities commissions have announced that they are each adopting a prospectus exemption that will allow issuers listed on a Canadian exchange to more easily raise money by distributing securities without the need for a prescribed offering document.
To help dealers ensure they’re compliant, IFIC has released a summary of what regulators are looking for, both in terms of actual requirements and recommended practices.