Two drug dealers were arrested with 275 grams of brown sugar here, a Kolkata Police officer said on Wednesday.

American Institute of Certified Public Accountants, author

James Charles decided that he wanted to help alleviate the problem of people without homes. Lacking access to any kind of large-scale shelter, Charles did the next best thing and used what he owned--a car dealership. In a Facebook post for his Kiplin Auto Group, Charles announced that he was offering ...

Published: November 2012

Canadian Securities Regulatory Requirements Applicable to Non-Resident Broker-Dealers, Advisers and Investment Fund Managers provides foreign securities and investment firms with essential information they need about Canadian securities regulatory licensing requirements.

Written with Canada’s top securities law experts at McCarthy Tétrault LLP, this resource serves as a comprehensive guide to foreign securities and investment firms seeking Canadian clients. In short, anyone who has clients conducting securities business in Canada will require this resource. Foreign investment managers will also require this information to act as an investment fund manager in Canada.

The book covers topics that should be addressed by non-residents before trading securities or providing investment advice to any person or company within Canada.

What's included:

• Dealer registration
• Adviser registration
• Investment fund manager registration
• Prospectus requirements

If you would like more details about this product, or would like to order a copy online, please click here.

Whether you represent brokerage firms and their employees or shareholders and investors, your clients depend on your informed counsel to help them thrive in today’s securities markets. With Broker-Dealer Law and Regulation, the authoritative analysis and practical guidance you need to advise clients on their rights, duties and liabilities under today’s complex securities regulations is at your fingertips. Written by two of America’s leading securities authorities, this publication gives you reliable guidance on the latest federal and state law governing private litigation and arbitration between broker-dealers and their customers, as well as regulation by the SEC and the SROs.

The Fourth Edition has been completely revised to cover all of the important regulatory changes and developments in case law affecting broker-dealers and includes new chapters covering the structure of the securities markets, the regulation of broker-dealers in public offerings and SEC and SRO enforcement, as well as expanded analysis of the technological advances in securities trading and information dissemination.

Table of Contents:

• Introduction
  • Chapter 1: The Economics and Structure of the Securities Industry
  • Chapter 2: Broker-Dealers Within Financial Conglomerates
  • Chapter 3: The Securities Markets
  • Chapter 4: An Overview of the Regulatory System
• Regulation and Compliance
  
  • Chapter 5: Broker Registration and Exemptions
  • Chapter 6: Broker and Associated Person Registration Process
  • Chapter 7: Broker Recordkeeping and Reporting
  • Chapter 8: Privacy and Anti-Money Laundering
  • Chapter 9: The Duty to Supervise
  • Chapter 10: Compensation in the Securities Industry
  • Chapter 11: Electronic Trading and the Securities Industry
  • Chapter 12: Financial Regulation of Broker-Dealers
  • Chapter 13: Broker-Dealers in Public Offerings
  • Chapter 14: SEC and SRO Enforcement and Disciplinary Proceedings
  • Chapter 15: Penny Stock Regulation
• Private Rights of Actions
  
  • Chapter 16: Liability of Broker-Dealers Under Common Law
  • Chapter 17: Fraud Generally
  • Chapter 18: Churning
  • Chapter 19: The Suitability Doctrine
  • Chapter 20: Unauthorized Trading
  • Chapter 21: Market Manipulation
  • Chapter 22: Conflicts of Interest and the Securities Industry
  • Chapter 23: Damages in Actions Against Broker-Dealers
  • Chapter 24: Defenses in Actions Against Broker-Dealers
  • Chapter 25: Vicarious Liability

  If you would like more details about this product, or would like to order a copy online, please click here.

  
  
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