Regulatory

ASC sanctions, fines Azteca Gold CEO

The ASC found the CEO made misleading and untrue statements in several releases and lacked proper qualifications for his role.

By Staff |June 15, 2012

1 min read

ASC sanctions, fines Alberta man

The Alberta Securities Commission has fined and sanctioned Edmonton-based Lorne Drever and the two companies he manages, Locate Technologies and 706166 Alberta Co., for violating Alberta securities laws.

By Staff |June 8, 2012

2 min read

Volcker on new CFA risk council

The Systemic Risk Council, a private sector group co-formed by the CFA Institute and led by former Federal Deposit Insurance Corp. chair Sheila Bair, will convene this month to monitor and encourage regulatory reform of U.S. capital markets focused on systemic risk.

By Staff |June 6, 2012

2 min read

Which clients will complain?

If you ever wanted to know what kind of client is most likely to file a complaint, a new report from the Ombudsman for Banking Services and Investments (OBSI) helps clarify the picture.

By Staff |May 24, 2012

2 min read