What do the compliance officers and company executives think about the regulators that oversee them? Applying discretion and OBSI are among the hot issues. From the April 2103 issue of Investment Executive newspaper.
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Insider trading laws are intended to enhance the fairness and efficiency of securities markets and to ensure that investors have confidence in them. The need for these laws is particularly apparent where shares are purchased before a takeover bid is announced.
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Will a director or officer of a corporation or limited liability partnership be personally liable for the losses of investors who relied upon his or her inaccurate statements when deciding to invest in a corporate venture? What if the inaccurate statements did not involve matters that were proven to cause the investment losses?
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On March 14, 2013, the Canadian Securities Administrators (CSA) published for comment proposed National Instrument 62-105 Security Holder Rights Plans and related companion policy (the Proposed Instrument). The Proposed Instrument, if implemented, would establish a comprehensive regulatory framework for the treatment of rights plans or 'poison pills' in Canada and is part of a broader ongoing CSA initiative to review defensive tactics.
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The Canadian Securities Administrators (CSA) today published for comment proposed amendments to National Instrument 81-102 Mutual Funds (NI 81-102), proposed changes to Companion Policy 81-102CP, and related consequential amendments, as part of the CSA's Modernization of Investment Fund Product Regulation Project.
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IR Magazine talks to international investors about whether guidance is always good for the share price.
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Investors are so narrowly focused on short-term returns that they ignore the long-term potential of a company, the head of Quebec's biggest pension fund company tells BNN.
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Since launching mobile versions three years ago, OANDA has seen roughly 300,000 copies of its fxTrade app downloaded to Android and Apple smartphones and tablets.
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Last week saw the release of the federal budget by the Minister of Finance. (For some trenchant analysis of its highlights, see this piece by our tax colleagues). Found within its 442 pages is an outline of the federal government's plan to move forward with a national securities regulator.
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As part of its 2013 Budget tabled in Parliament yesterday, the federal government has indicated its intention to develop a comprehensive financial consumer code to better protect consumers of financial products and ensure they have the necessary tools to make responsible financial decisions.
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Earlier this week, the Ontario Securities Commission's Investor Advisory Panel released the findings of a study conducted to gauge the views of investors regarding their relationships with financial advisers. Of particular interest, the study ultimately found that while investors generally trust their financial advisers, 93% support a best interest duty. Meanwhile, the study also found support for strengthening the regulation of financial advisers and stricter enforcement of the rules.
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