Securities

SEC goes after firms in China and India

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

9 ways to sell the unsellable

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

2 min read

CSA seeks comment on real-time market data fees

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

B.C. man arrested for alleged illegal securities sales

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

1 min read