Landen gets jail sentence and fine for illegal insider trading
Judge orders former Agnico-Eagle officer to pay $200,000
- By: IE Staff
- January 29, 2009 January 29, 2009
- 16:35
Latest news in From the Regulators
CSA enforcement actions double in 2008: report
Rise in appeals signals securities law is becoming more litigious
- By: Megan Harman
- January 29, 2009 January 29, 2009
- 15:40
Morgan Wilshire ordered to cease operations
IIROC panel terminates company’s membership
- By: IE Staff
- January 28, 2009 January 28, 2009
- 17:26
IIROC panel reduces fines against former Golden Capital CFO
An appeal panel of the Investment Industry Regulatory Organization of Canada has reduced fines against a Vancouver-based CFO who argued the penalty against him was…
- By: Megan Harman
- January 28, 2009 January 28, 2009
- 16:13
MFDA begins new round of sales compliance exams
Bulletin outlines common deficiencies and provides guidance on best practices
- By: James Langton
- January 28, 2009 January 28, 2009
- 15:45
OSC announces cease-trade order against Panama Opportunity Fund
The Ontario Securities Commission has imposed a temporary cease-trade order on Berkshire Capital Limited, GP Berkshire Capital Limited, Panama Opportunity Fund and Ernest Anderson.The order…
- By: IE Staff
- January 28, 2009 January 28, 2009
- 14:10
OSC settles with two Biovail execs
Howling, Miszuk fined and reprimanded for misleading investors
- By: James Langton
- January 28, 2009 January 28, 2009
- 12:15
MFDA mulls rule amendments for principal-protected notes
CSA urges action to ensure that KYC and suitability obligations apply to all dealings in PPNs
- By: James Langton
- January 25, 2009 January 25, 2009
- 16:40
Natural Gas Exchange seeks exemption from OSC
Exchange already recognized by Alberta Securities Commission
- By: James Langton
- January 25, 2009 January 25, 2009
- 16:15
OSC orders vote on HudBay-Lundin deal
Proposed purchase needs shareholder vote, regulator rules
- By: James Langton
- January 25, 2009 January 25, 2009
- 15:15
FINRA launches search to replace Schapiro
Luparello to serve as interim CEO
- By: James Langton
- January 23, 2009 January 23, 2009
- 16:20
Argosy owner fined $150,000 for compliance shortfall
IIROC calls for compliance consultant to be put in place
- By: IE Staff
- January 22, 2009 January 22, 2009
- 15:45
Financial crisis prompts U.K. regulatory changes
Financial Services Authority to review regulation of banking system
- By: James Langton
- January 21, 2009 January 21, 2009
- 16:42
Vancouver accountant fined $70,000
De facto director failed to file insider trading reports: BCSC
- By: Megan Harman
- January 21, 2009 January 21, 2009
- 13:19
IIROC gives February 2010 deadline for rulebook re-write
Regulator plans to integrate trading rules into new consolidated rulebook
- By: James Langton
- January 20, 2009 January 20, 2009
- 17:10
CFTC names Dunn acting chairman
The U.S. Commodity Futures Trading Commission has elected commissioner Michael Dunn to serve as acting chairman until U.S. President Obama’s nominee to lead the agency,…
- By: James Langton
- January 20, 2009 January 20, 2009
- 15:50
First Ministers endorse full labour mobility across Canada
Amendments remove barriers to internal trade
- By: James Langton
- January 18, 2009 January 18, 2009
- 14:50
Investment firm fined for advising in B.C. without registration
Castlemore to pay $5,500 in fines and fees
- By: IE Staff
- January 16, 2009 January 16, 2009
- 13:35
Basel Committee seeks to reform capital adequacy framework
Proposed changes would strengthen the supervisory environment for banks
- By: James Walker
- January 16, 2009 January 16, 2009
- 10:20
ASC settles illegal insider trading allegations against Calgary businessman
Laprade to pay regulator $10,000
- By: IE Staff
- January 15, 2009 January 15, 2009
- 10:10
Regulators need to treat economic crime more seriously, says Wilson
Prevention efforts necessary to protect investors
- By: Megan Harman
- January 14, 2009 January 14, 2009
- 18:06
Opt-in provision could allow single regulator regime to take effect sooner rather than later, Hockin says
Expert Panel chairman pleased with mostly positive reaction to report
- By: Megan Harman
- January 14, 2009 January 14, 2009
- 16:10
Quebec unveils refundable tax credit for home improvement
Jérôme-Forget tables economic statement
- By: James Langton
- January 14, 2009 January 14, 2009
- 15:55
Joint investor conference to meet in Washington, D.C.
The International Forum for Investor Education and the International Organization of Securities Commissions announced that they are holding their second joint investor education conference March…
- By: James Langton
- January 14, 2009 January 14, 2009
- 12:39
UK regulator welcomes proposed new “immunity notices” power
The UK’s Financial Services Authority is welcoming proposals announced by the British government that would give it new statutory powers, including the power to grant…
- By: James Langton
- January 14, 2009 January 14, 2009
- 12:36