Regulatory

Alberta to reciprocate sanctions automatically

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.

July 2, 2015

4 min read

CSA proposes electronic filing on SEDAR

CSA has published proposed amendments would require certain exempt market filings to be filed in electronic format on SEDAR.

By Staff |June 30, 2015

2 min read

SEC busts firm for cherry picking

The SEC has announced fraud charges against a Wisconsin-based investment advisory firm and its owner accused of improperly allocating to his personal and business accounts certain options trades that appreciated in value during the course of a trading day while allocating to his clients other trades that depreciated in value.

By Staff |June 29, 2015

2 min read

Rich clients get green light for private placements

CSA has implemented amendments that provide limited exemptions from certain disclosure requirements for offerings of foreign securities made in Canada.

By Staff |June 25, 2015

2 min read