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Canadian Securities Regulators Enforcement Report Highlights Fraud |
February 21, 2013 |
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Commission Approves Settlement Agreement with Local Mining Company |
February 7, 2013 |
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Canadian Securities Administrators renew term of Chair appoint new Vice-Chair |
February 4, 2013 |
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Settlement Agreement Approved for Return On Innovation Advisors Ltd |
February 1, 2013 |
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Canadian Securities Regulators Adopt Amendments to Improve Scholarship Plan Disclosure for Investors |
January 10, 2013 |
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Canadian Securities Regulators Publish Discussion Paper on Mutual Fund Fees |
December 13, 2012 |
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Canadian Securities Regulators Seek Comment on Model Rules Relating to Derivatives- Product Determination and Derivatives Trade Respositories and Data Reporting |
December 6, 2012 |
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Nova Scotia Securities Commission Issued Decision on Knowledge House Motions |
December 5, 2012 |
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Settlement Agreement Approved for National Bank Financial Ltd and Eric Cecil Hicks |
December 4, 2012 |
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Canadian Securities Regulators Adopt Amendments to Improve Issuer Communications with Investors |
November 29, 2012 |
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Settlement Agreement Approved for Keybase Financial Group Inc |
November 23, 2012 |
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Settlement Agreement Approved fro Gregory Matthew Duncan |
November 23, 2012 |
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Sanctions Issued Against Timothy Adams Lowell Weir and Carol McLaughlin-Weir |
November 21, 2012 |
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Canadian Regulators Propose to Mandate OBSIs Dispute Resolution Service |
November 15, 2012 |
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Canadian Securities Regulators Seek Comment on the Regulation of Market Data Fees |
November 8, 2012 |
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Canadian Securities Regulators Seek Comment on Amendments to Direct Electronic Access Rule |
October 25, 2012 |
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Canadian Regulators Publish Consultation Paper on a Statutory Best Interest Duty |
October 25, 2012 |
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Canadian securities regulators release 2012 Investor Index |
October 16, 2012 |
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NSSC - Notice of Discontinuance Issued |
October 4, 2012 |
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Statement by Canadian authorities on clearing of standardized OTC derivatives contracts |
October 1, 2012 |
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NSSC - Discovery Question to be Answered Settlement Hearing to Proceed |
October 1, 2012 |
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Nova Scotia Securities Commission - Settlement Agreement Approved for Mutual Fund Salesperson |
September 21, 2012 |
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Nova Scotia Securities Commission - Expert Advice Not Subject to Litigation Privilege |
September 20, 2012 |
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Canadian securities regulators seek further comment on proposed rule for venture issuers |
September 13, 2012 |
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Canadian Securities Regulators publish notice to clarify definition of Preliminary Economic Assessments in NI 43-101 |
August 16, 2012 |
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Canadian Securities Regulators Announce Results of Continuous Disclosure Reviews for Fiscal 2012 |
July 19, 2012 |
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Canadian Securities Regulators Establish Regulatory Framework to Manage Electronic Trading Risks |
June 28, 2012 |
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NSSC - Sanctions Issued Against Bernadette Bowden |
June 26, 2012 |
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Canadian Securities Regulators Propose Disclosure Enhancements to Fund Facts |
June 21, 2012 |
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Canadian Securities Regulators Seek Comments on the Potential Regulation of Proxy Advisory Firms |
June 21, 2012 |
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Canadian Securities Regulators Seeks Comments on OTC Central Counterparty Derivatives Clearing Framework |
June 20, 2012 |
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Canadian securities regulators propose enhanced disclosure requirements on investment costs and performance |
June 14, 2012 |
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NSSC - Cease Trade Order Issued For Maritime Equity Fund |
May 17, 2012 |
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NSSC - Sanctions Issued Against Robin States |
May 16, 2012 |
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NSSC - Cease Trade Order Issued Regarding Keltic Savings Corporation Limited |
May 16, 2012 |
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NS Securities Commission - Cease Trade Order Issued Against AD Equity Inc |
May 15, 2012 |
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Canadian securities regulators strenghten over-the-counter rules |
May 10, 2012 |
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Canadian securities regulators grant Designated Rating Organization status under new regulatory framework |
April 30, 2012 |
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CSA provides guidance to improve compliance of disclosure requirements related to prospectus exemptions |
April 26, 2012 |
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CSA and IIROC announce the implementation of a dark liquidity framework in Canada |
April 13, 2012 |
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CSA seeks comment on proposed over-the-counter derivatives exemption |
April 13, 2012 |
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CSA Issues Investor Watch Regarding Foreign Currency Exchange Forex-FX Trading |
March 29, 2012 |
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Helical Corporation Insider Reporting Decision Issued |
March 26, 2012 |
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Online fraud awareness campaign confirms investors vulnerability |
March 6, 2012 |
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CSA and IIROC Seek Input on Trade Transparency |
March 2, 2012 |
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NSSC - Commission Assessed More Than $2 Million in Fines in 2011 |
February 29, 2012 |
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Canadian Securities Regulators 2011 Enforcement Report Highlights Proactive Measures to Protect Investors |
February 22, 2012 |
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CSA publishes findings and recommendations for the segregation and portability of customer positions and related collateral in over-the-counter derivatives clearing |
February 10, 2012 |
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Canadian securities regulators modernize rules concerning mutual funds |
February 9, 2012 |
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Canadian securities regulators adopt regulatory regime for Credit Rating Organizations |
January 27, 2012 |
