Ex-Credit Suisse broker convicted in securities fraud
Resulting investor losses totalled almost US$1 billion
- By: James Langton
- August 18, 2009 August 18, 2009
- 15:20
Latest news in From the Regulators
FINRA, SEC warn retail investors about leveraged or inverse ETFs
Investors should consider seeking the advice of an advisor, regulators say
- By: James Langton
- August 18, 2009 August 18, 2009
- 15:10
ASC bans Sea Sun Capital for illegal trading
Company, ex-CEO fined
- By: Megan Harman
- August 18, 2009 August 18, 2009
- 14:40
Florida company banned from Alberta capital market
Boiler room operation drew investments totalling more than $650,000
- By: Megan Harman
- August 17, 2009 August 17, 2009
- 16:45
SEC proposes new approach to restricting short selling
Regulator seeks comment on alternative uptick rule
- By: James Langton
- August 17, 2009 August 17, 2009
- 15:30
IIROC suspends membership of Standard Securities
Action follows resignation of chief compliance officer
- By: Megan Harman
- August 17, 2009 August 17, 2009
- 15:22
U.S. Fed, Treasury approve TALF extension
Extension to aid commercial property
- By: James Langton
- August 17, 2009 August 17, 2009
- 10:07
ASC settles illegal insider trading complaint with B.C. man
Noble to pay regulator $80,000
- By: IE Staff
- August 16, 2009 August 16, 2009
- 11:40
BCSC settles with Nesbitt Burns in contravening cease trade order
Investment dealer and rep admit to breaching Raven Gold CTO
- By: IE Staff
- August 13, 2009 August 13, 2009
- 13:20
FSA confirms introduction of compensation code
Critics says new rules don’t go far enough
- By: James Langton
- August 12, 2009 August 12, 2009
- 13:28
U.S. Treasury sends derivatives proposals to Congress
Bill would restrict OTC derivatives holdings
- By: James Langton
- August 11, 2009 August 11, 2009
- 14:45
FINRA fines Credit Suisse for failing to comply with terms of global research analyst settlement
Firm failed to make independent research available to customers
- By: James Langton
- August 10, 2009 August 10, 2009
- 12:33
Regulators outline rules for exempt market dealers
CSA summarizes requirements that become effective in September
- By: IE Staff
- August 9, 2009 August 9, 2009
- 10:18
Bank of America pays US$33 million to settle SEC charges
Allegations show that BofA misled investors about billions of dollars in bonuses paid to Merrill Lynch executives
- By: James Langton
- August 4, 2009 August 4, 2009
- 09:46
IIROC drops several proposed rule changes
Approval from the provincial securities commissions not forthcoming
- By: James Langton
- August 3, 2009 August 3, 2009
- 14:55
IIROC report highlights compliance shortcomings
Inadequate supervision a common deficiency
- By: James Langton
- August 3, 2009 August 3, 2009
- 10:15
IIROC withdraws allegations against Research Capital rep
The Investment Industry Regulatory Organization of Canada (IIROC) is withdrawing all allegations of regulatory contravention against a Vancouver broker.The decision by IIROC staff’ was based…
- By: IE Staff
- July 30, 2009 July 30, 2009
- 15:20
Online income is taxable, government says
CRA to audit eBay sellers
- By: IE Staff
- July 30, 2009 July 30, 2009
- 14:10
SEC Investor Advisory Committee outlines agenda
SEC Investor Advisory Committee outlines agenda
- By: James Langton
- July 29, 2009 July 29, 2009
- 14:15
AMF cautions investors about regulator scam
Quebec’s securities regulator cautioned investors Wednesday about an organization called the International Organization of Securities Commission (IOSC), which is not to be confused with the…
- By: IE Staff
- July 29, 2009 July 29, 2009
- 13:08
IOSCO publishes due diligence good practices for investment managers
The International Organization of Securities Commissions Wednesday released a report setting out good due diligence practices for investment managers.IOSCO’s Technical Committee put out the report,…
- By: James Langton
- July 29, 2009 July 29, 2009
- 11:30
Accused fraudster’s firm declared bankrupt
Trustee to see how much money is left in Earl Jones’ company
- By: IE Staff
- July 29, 2009 July 29, 2009
- 11:03
Swift Trade co-founder reprimanded for misleading OSC staff
Regulator approves settlement with Swift Trade and Beck
- By: IE Staff
- July 29, 2009 July 29, 2009
- 07:16
MFDA takes steps to boost policy development transparency
Regulator aims to improve the pre-consultation process for major rule initiatives
- By: James Langton
- July 28, 2009 July 28, 2009
- 15:43
FINRA fines brokerages for unsuitable short-term sales of closed-end funds
Investors get more than US$5 million in remediation
- By: James Langton
- July 28, 2009 July 28, 2009
- 15:30