Regulatory

IIROC revamps strategic plan

The Investment Industry Regulatory Organization of Canada (IIROC) has issued its new Strategic Plan for the period 2012 – 2015. “This Plan will guide IIROC’s efforts to strengthen investor protection and stakeholder confidence in the integrity, fairness and competitiveness of Canada’s capital markets,” says Susan Wolburgh Jenah, IIROC president and CEO. IIROC developed its first […]

By Staff |August 3, 2012

1 min read

Alberta joins U.S. regulator to fight crime

To date, Canada’s provincial regulators have failed to find common ground and form a national committee. The ASC, however, has found a partner south of the border to help strengthen its fight against international white-collar crime.

July 26, 2012

1 min read

GrowthWorks unitholders wait for assets to thaw

Unitholders have okayed GrowthWorks Canadian Fund’s redemption management plan (RMP). But the Toronto-based fund is still waiting to see if regulators will follow suit.

By Renée Alexander |July 25, 2012

4 min read

3 B.C. men illegally traded securities: BCSC

A British Columbia Securities Commission panel has found three B.C. men, along with a parking technology company, illegally distributed securities. They raised approximately $3.5 million from investors who didn’t qualify for exemptions from securities laws. Read: 3 core principles of CRM The panel found Photo Violation Technologies (PVT), Frederick Lawrence Marlatt, Michael Wallace Minor, and […]

By Staff |July 20, 2012

2 min read