Regulatory

SEC warns on junk bonds

The Securities and Exchange Commission (SEC) has issued an investor alert on junk bonds.

By Staff |June 7, 2013

1 min read

Regulator alleges B.C. man committed fraud

The executive director of the British Columbia Securities Commission has issued a notice of hearing alleging that a resident of Mill Bay, B.C. advised hundreds of people to purchase securities without being registered and perpetrated a fraud.

By Staff |June 7, 2013

3 min read

IIROC fines rep $35,000

On May 28, 2013, a Hearing Panel of the Investment Industry Regulatory Organization of Canada (IIROC), accepted a Settlement Agreement, with sanctions, between IIROC staff and Robert Jay Kilgannon.

By Staff |June 6, 2013

2 min read

CSA proposes new derivatives reporting rules

Members of the Canadian Securities Administrators (CSA) today published for comment proposed provincial rules and updated model rules relating to the reporting of derivatives transactions to trade repositories. Together, the publications aim to achieve a harmonized derivatives trade reporting regime across Canada.

By Staff |June 6, 2013

2 min read