 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 OBSI's 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 Regulators Publish Consultation Paper on a Statutory Best Interest Duty |
October 25, 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 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 Seek Comments on the Potential Regulation of Proxy Advisory Firms |
June 21, 2012 |
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Canadian Securities Regulators Propose Disclosure Enhancements to Fund Facts |
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 |
