News and resources for Canada's top financial advisors
Est. 1998
Industry
The U.S. Securities and Exchange Commission has charged the Chinese affiliates of Deloitte, Ernst & Young, KPMG, PwC and BDO with violating the U.S. Securities Exchange Act. By refusing to produce paperwork related to investigations into accounting fraud, these firms ran afoul of securities laws, says an FT report. The move has brought the spotlight […]
By Staff |December 4, 2012
2 min read
Planning and Advice
If you’re not fully securities-licensed but want to help clients get into products you can’t sell, here are a few tips.
November 22, 2012
The Canadian Securities Administrators published a consultation paper 21-401 Real-Time Market Data Fees. It discusses issues related to the cost of real-time market data and seeks stakeholder feedback. Read: CSA paper examines advisor fiduciary duty Real-time market data plays a key role in Canada’s equity markets, as this information provides vital insight into the securities […]
By Staff |November 8, 2012
1 min read
The British Columbia Securities Commission’s criminal investigations team and the Abbotsford Police Department have arrested Gregory Carrington and charged him with 10 counts under the Securities Act. The charges relate to selling securities without being registered, making misrepresentations, breaching an existing trading ban and selling securities without a prospectus. The charges against Carrington have not […]
By Staff |June 20, 2012
FINRA has suspended a Merrill Lynch lawyer for practicing law – albeit outside the scope of his role as a General Securities Sales Supervisor.
By Melissa Shin |May 2, 2012
Economic Indicators
Notorious for its tight capital controls and glacially paced market reforms, India has now displeased foreign investors with a bevy of new taxes proposed recently in the Finance Bill 2012. The international media wasted no time in drawing attention to the widespread concern for, and reconsideration of, the costs and benefits of investing in India. […]
By Vikram Barhat |April 9, 2012
The Supreme Court of Canada says the federal government does not have the power to unilaterally create a national securities regulator through legislation, but reaction to the decision suggests there might still be a way forward, through federal and provincial co-operation.
By Doug Watt |December 22, 2011
3 min read
Are securities regulators in Canada finally pulling up their socks? Don’t count on it
October 1, 2011
6 min read
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