New members appointed to NBSC
Williamson and Lee succeed Flemming and Hashey
- By: James Langton
- August 24, 2008 August 24, 2008
- 16:20
Latest news in From the Regulators
Court denies motion by ASC to toss out class action suit
Regulator didn’t produce enough evidence to show that there is no genuine issue for trial, court rules
- By: James Langton
- August 21, 2008 August 21, 2008
- 15:18
Securities regulation panel releases results of public consultations
Expert panel receives more than 70 formal submissions
- By: IE Staff
- August 21, 2008 August 21, 2008
- 14:50
MFDA suspends membership of Farm Mutual
A hearing panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada has suspended the membership rights and privileges of Farm…
- By: IE Staff
- August 21, 2008 August 21, 2008
- 13:30
Sterling Mutuals fined $50,000 by MFDA panel
Firm ordered to retain independent monitor to resolve compliance deficiencies
- By: IE Staff
- August 21, 2008 August 21, 2008
- 12:55
BCSC makes reciprocal orders based on ASC and NBSC decisions
British Columbia Securities Commission panels have made reciprocal orders in six decisions against eight individuals who were sanctioned by the Alberta Securities Commission and the…
- By: IE Staff
- August 20, 2008 August 20, 2008
- 08:50
Lawyer to appeal ABCP ruling to Supreme Court
Ontario court upholds restructuring plan
- By: IE Staff
- August 20, 2008 August 20, 2008
- 07:35
CFTC alleges Ontario man defrauded commodity pool investors of millions
Regulator orders Eustace to pay more than US$279 million in restitution
- By: James Langton
- August 19, 2008 August 19, 2008
- 13:25
SEC unveils plans for new disclosure platform
IDEA will replace EDGAR system
- By: IE Staff
- August 19, 2008 August 19, 2008
- 12:35
Regulators moving ahead with disclosure certification rule
The Canadian Securities Administrators is moving to adopt its proposed new disclosure certification rule.The CSA has published the final version of National Instrument 52-109 Certification…
- By: James Langton
- August 15, 2008 August 15, 2008
- 12:30
RCMP charge six in alleged investment fraud
TTI investment promised a return of 40% in four months
- By: IE Staff
- August 15, 2008 August 15, 2008
- 10:55
ASC levies penalties against Coadum Capital directors, promoters
Fines total $115,000
- By: IE Staff
- August 15, 2008 August 15, 2008
- 10:10
MFDA panel fines Evangeline Securities $10,000
A hearing panel of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada today approved a settlement agreement between the MFDA and…
- By: IE Staff
- August 14, 2008 August 14, 2008
- 14:19
OSC accuses Duic of breaking cease trade order
Regulator alleges trades breached settlement reached in illegal tipping case
- By: IE Staff
- August 14, 2008 August 14, 2008
- 13:35
Quebec court OKs appeal of reduced sentence for former Norbourg CEO
The Quebec Court of Appeal has approved a request from Quebec’s securities regulator to appeal the reduced fraud sentence of former Norbourg head Vincent Lacroix.The…
- By: IE Staff
- August 14, 2008 August 14, 2008
- 09:50
SEC proposes plan to enhance insider trading surveillance and detection
FINRA, NYSE Regulation to split responsibilities
- By: James Langton
- August 13, 2008 August 13, 2008
- 11:30
CSA satisfied with level of compliance with continuous disclosure obligations
Regulators announce results of CD reviews for 2008
- By: James Langton
- August 13, 2008 August 13, 2008
- 10:55
UK regulator fines FSA fines Credit Suisse $11.3 million for systems and controls failings
The UK’s Financial Services Authority fined the UK operations of Credit Suisse £5.6 million ($11.3 million) for control failures revealed by mis-pricing of asset-backed securities.In…
- By: James Langton
- August 13, 2008 August 13, 2008
- 09:10
N.Y. attorney general expands auction rate inquiry
J.P. Morgan Chase, Morgan Stanley and Wachovia under investigation
- By: James Langton
- August 11, 2008 August 11, 2008
- 15:34
CFTC forms retail forex fraud enforcement task force
The U.S. Commodity Futures Trading Commission today announced the formation of a special task force charged with investigating and litigating fraud in the off-exchange retail…
- By: James Langton
- August 11, 2008 August 11, 2008
- 15:15
AMF to appeal reduced sentence for Norbourg founder
The Autorité des marchés financiers says it is seeking to appeal the court decision reducing the sentence imposed on the founder of failed mutual fund…
- By: James Langton
- August 10, 2008 August 10, 2008
- 15:40
Florida man fined $160,000 by NBSC for pyramid scheme
A New Brunswick Securities Commission hearing panel has levied a $160,000 penalty against the alleged mastermind of a pyramid scheme.The NBSC says that a hearing…
- By: IE Staff
- August 10, 2008 August 10, 2008
- 15:25
IIROC publishes draft of financial planning rule
Proposed rule outlines standards to be met by dealers providing planning services
- By: James Langton
- August 10, 2008 August 10, 2008
- 14:25
SEC unveils two new anti-money laundering compliance initiatives
Online tool assists mutual funds in their compliance efforts
- By: IE Staff
- August 7, 2008 August 7, 2008
- 16:30
AMF steps up fight against insider trading and market manipulation
Quebec’s Autorité des marchés financiers (AFM) held a training seminar on emerging issues in insider trading and market manipulation as part of its effort to…
- By: James Langton
- August 7, 2008 August 7, 2008
- 15:50