Fraud case against Earl Jones postponed until December
Losses total $75 million, victims allege
- By: The Canadian Press
- October 19, 2009 October 19, 2009
- 11:10
Latest news in From the Regulators
Tax special: Accountants remind advisors of tougher CRA enforcement
- By: Jason Safa
- October 19, 2009 December 15, 2017
- 10:57
International Ponzi scheme case put over to December
Brost and Sorenson face up to 14 years in prison if convicted
- By: The Canadian Press
- October 19, 2009 October 19, 2009
- 10:57
Ottawa seeking Supreme Court opinion on national securities regulator
Alberta, Manitoba and Quebec have yet to join advisory committee
- By: The Canadian Press
- October 18, 2009 October 18, 2009
- 19:30
SEC, CFTC release report on harmonizing oversight
Report is another step forward in the effort to ensure greater harmonization between agencies
- By: James Langton
- October 18, 2009 October 18, 2009
- 15:30
Hedge fund founder charged in US$25 million insider trading case
Rajaratnam, six others charged
- By: James Langton
- October 18, 2009 October 18, 2009
- 15:12
Regulators plan for changes to fund disclosure resulting from IFRS
CSA amendments address proposed changes to securities legislation
- By: James Langton
- October 18, 2009 October 18, 2009
- 10:08
Quebec steps up fight against aggressive tax planning schemes
Measures include bigger penalties
- By: James Langton
- October 15, 2009 October 15, 2009
- 15:31
Regulator advisory panel members named
Members nominated by provinces and territories
- By: IE Staff
- October 15, 2009 October 15, 2009
- 13:00
BCSC investigating Sung Wan Kim
Clients of Cirplus Futures asked to contact regulator
- By: IE Staff
- October 13, 2009 October 13, 2009
- 15:55
Exchanges and ATSs to notify OSC of proposed changes to order types
New process recognizes the need for a similar degree of transparency
- By: IE Staff
- October 12, 2009 October 12, 2009
- 16:15
PIS fined $50,000 for compliance failings
Firm must retain independent monitor to resolve compliance deficiencies, MFDA says
- By: Megan Harman
- October 12, 2009 October 12, 2009
- 15:45
Lacroix sentenced to 13 years in prison for fraud
Ex-Norbourg CEO already serving five years for securities violations
- By: The Canadian Press
- October 12, 2009 October 12, 2009
- 11:32
Regulators propose changes to fund prospectus disclosure forms
Amendments aimed at ensuring consistency with new soft-dollar commission rules
- By: James Langton
- October 9, 2009 October 9, 2009
- 14:31
Clark reaches settlement in N.S. securities probe
Activist investment firm to pay $300,000 penalty
- By: IE Staff
- October 9, 2009 October 9, 2009
- 14:04
Former Vancouver resident receives seven-year market ban
Gibson allowed Panama company to resell Rocky Mountain shares to UK investors
- By: IE Staff
- October 9, 2009 October 9, 2009
- 13:54
Converted exempt market dealers get reprieve from quarterly account statements requirements
MFDA members in Ontario and Newfoundland given 2-year transition period
- By: James Langton
- October 9, 2009 October 9, 2009
- 10:39
CSA approves soft-dollar commission rules
New disclosure requirements take effect in June 2010
- By: James Langton
- October 6, 2009 October 6, 2009
- 11:03
FINRA warns of phishing scam
Fake emails promise compensation from auction rate securities settlements
- By: James Langton
- October 5, 2009 October 5, 2009
- 16:30
MFDA members approve governance changes
Number of directors increases to 15
- By: James Langton
- October 5, 2009 October 5, 2009
- 15:50
Review prompts draft guidance on IIROC KYC and suitability guidelines
Comments due by Dec. 16
- By: James Langton
- October 5, 2009 October 5, 2009
- 14:02
Plans to overhaul of UK liquidity regulation finalized
FSA is the first major regulator to introduce tighter liquidity requirements for firms
- By: James Langton
- October 5, 2009 October 5, 2009
- 12:13
New tool teaches investors to recognize and prevent fraud
B.C. residents more likely to be approached with fraudulent investments
- By: IE Staff
- October 5, 2009 October 5, 2009
- 11:55
Report recommends overhaul of fraud detection at FINRA
Reforms would better safeguard investors and the broader financial system
- By: James Langton
- October 4, 2009 October 4, 2009
- 15:28
OSC to raise fees in fiscal 2011
Increased participation fees designed to allow regulator to reach cost recovery
- By: James Langton
- October 4, 2009 October 4, 2009
- 14:45