Complinet Canada Financial Services http://www.complinet.com Complinet Canada Financial Services RSS feed en complinet.com Alberta issues new OTC derivatives blanker order http://www.complinet.com/global/news/news/article.html?ref=104461 On April 11, 2008, the Alberta Securities Commission (ASC) issued Blanket Order 91-503, "Over-The-Counter Derivatives Transactions and Commodity Contracts". Wed, 07 May 2008 23:11:04 +0000 Securities commissions republish proposed dealer registration reform http://www.complinet.com/global/news/news/article.html?ref=104465 . Wed, 07 May 2008 14:18:55 +0000 Joint Forum report on global customer suitability in the retail sale of financial products and services http://www.complinet.com/global/news/news/article.html?ref=104393 The Joint Forum has published a paper entitled "Customer suitability in the retail sale of financial products and services". Wed, 07 May 2008 10:32:49 +0000 Nason speaks about US blueprint for regulatory reform http://www.complinet.com/global/news/news/article.html?ref=104338 In a speech at Chatham House on April 29 David Nason, US Treasury assistant secretary for financial institutions, set out some of the progress being made in the structural reform of the US financial markets. Mon, 05 May 2008 20:57:04 +0000 Quebec man's plea highlights threat of cash smuggling across US-Canada frontier http://www.complinet.com/global/news/news/article.html?ref=104360 A Canadian man has pleaded guilty to drug trafficking and bulk cash smuggling charges in US federal court for his role in a ring that distributed marijuana in America and smuggled the proceeds to Canada. Mon, 05 May 2008 20:15:25 +0000 The final act? Garth Drabinsky faces the music in Canada's first major prosecution of alleged corporate accounting fraud http://www.complinet.com/global/news/news/article.html?ref=104357 One of the longest-running legal productions in Canadian history is entering its final act as the criminal-fraud case against Garth Drabinsky and Myron Gottlieb, the co-founders of now-defunct Livent Inc. Mon, 05 May 2008 12:00:46 +0000 Managing risks as a foreign-owned US broker-dealer http://www.complinet.com/global/news/news/article.html?ref=104288 Broker-dealers that are U. Thu, 01 May 2008 23:19:33 +0000 Derivative Structures - Recent Developments Of Importance http://www.complinet.com/global/news/news/article.html?ref=104312 . Thu, 01 May 2008 22:20:54 +0000 Law Society's new 'know your client' requirements enhance public protection http://www.complinet.com/global/news/news/article.html?ref=104277 . Thu, 01 May 2008 09:29:04 +0000 FINTRAC officials: Bill C-25 deadlines are fast approaching http://www.complinet.com/global/news/news/article.html?ref=104230 In roughly six weeks' time Canadian financial institutions will be obliged to manage risks associated with "politically exposed foreign persons" and report all attempts at suspicious transactions. Wed, 30 Apr 2008 23:10:46 +0000 The system works; Canada's division of regulatory power discourages U.S.-style abuses of authority and the resultant market-share losses http://www.complinet.com/global/news/news/article.html?ref=104256 Proponents of a national securities regulator in Canada start with the unquestioned assumption that financial markets would not work without securities regulation, and conclude with some great national scheme for a strong central monopoly. Wed, 30 Apr 2008 14:10:50 +0000 Flaherty says Canadian financial sector solid but needs can't be complacent http://www.complinet.com/global/news/news/article.html?ref=104217 TORONTO - Finance Minister Jim Flaherty wants Canada's financial community to provide more disclosure about the products they offer so investors have a better understanding of the risks they face. Tue, 29 Apr 2008 15:03:26 +0000 Reviewing CSA proposed dealer registration reform proposal http://www.complinet.com/global/news/news/article.html?ref=104150 The Canadian Securities Administrators have republished their proposed reforms to the dealer registration regime in a new draft of National Instrument 31-103 – Registration Requirements (new NI 31-103), originally published in February 2007 (the 2007 Proposal). Mon, 28 Apr 2008 23:01:54 +0000 Canadians not ready for new accounting: international rules http://www.complinet.com/global/news/news/article.html?ref=104176 Most Canadian companies aren't ready to adopt a set of new international accounting rules by the 2011 deadline, says a report released yesterday. Mon, 28 Apr 2008 15:55:40 +0000 Alleges illegal sales of executive marketing and strategies securities http://www.complinet.com/global/news/news/article.html?ref=104123 . Fri, 25 Apr 2008 15:08:53 +0000 BCSC gets three new commissioners http://www.complinet.com/global/news/news/article.html?ref=104107 . Thu, 24 Apr 2008 22:23:07 +0000 Wanted: A national securities agency http://www.complinet.com/global/news/news/article.html?ref=104104 . Thu, 24 Apr 2008 21:33:31 +0000 How post-MiFID competition is being exported across the Atlantic http://www.complinet.com/global/news/news/article.html?ref=104056 The cold war between Europe's traditional exchanges and broker-dealers, now in fierce competition for liquidity thanks to the Markets in Financial Instruments Directive, has found a new theatre in the negotiations over transatlantic regulatory recognition. Thu, 24 Apr 2008 21:00:52 +0000 US criticism of FSA's derivatives supervision was a personal view, FOA emphasises http://www.complinet.com/global/news/news/article.html?ref=104018 Comments that a member of the Commodity Futures Trading Commission made at an informal meeting with board members of the Futures and Options Association were "very unfortunate", according to industry insiders. Wed, 23 Apr 2008 17:02:17 +0000 Expert panel on securities regulation in Canada launches public consultations http://www.complinet.com/global/news/news/article.html?ref=103995 . 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