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
Latest news in From the Regulators
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
Citigroup agrees to auction rate securities settlement
Citigroup Inc. has reached a deal with U.S. regulators to give the purchasers of auction rate securities their money back.The U.S. Securities and Exchange Commission’s…
- By: James Langton
- August 7, 2008 August 7, 2008
- 14:50
ASC permanently bans First Global Ventures, Allen Grossman
Decision based on similar orders by NSC, OSC
- By: IE Staff
- August 7, 2008 August 7, 2008
- 13:10
IIROC overhauls policy advisory committees
Nine committees disbanded
- By: James Langton
- August 6, 2008 August 6, 2008
- 16:10
OSC’s Watson to join RCMP Integrated Market Enforcement Program
Dowdall-Logie to oversee OSC enforcement branch
- By: IE Staff
- August 6, 2008 August 6, 2008
- 11:25
Regulators approve MFDA revisions
Amendments give the self-regulatory organization greater power in trying wrongdoers and issuing penalties
- By: James Langton
- August 4, 2008 August 4, 2008
- 14:30
OSC amends proficiency requirements for brokers
Reps now have 30 months to complete one of two courses to maintain their registration
- By: James Langton
- August 4, 2008 August 4, 2008
- 14:15
SEC moves to stop alleged scam
Fraudulent scheme is being perpetrated by a man barred from Ontario’s securities markets
- By: James Langton
- August 4, 2008 August 4, 2008
- 11:40
FSA market manipulation investigation finds no wrongdoing
Share price of British bank was not only affected by rumours, but by the interaction of other complex factors
- By: James Langton
- August 1, 2008 August 1, 2008
- 11:00
IIROC imposes $2 million fine on TD Waterhouse
Brokerage failed to ensure clients were accredited investors
- By: Kate Betts-Wilmott
- July 31, 2008 July 31, 2008
- 15:10
Joint Forum issues final version of credit risk transfer paper
The Joint Forum released the final version of its paper examining the development of the credit risk transfer phenomenon over the past couple of years.…
- By: James Langton
- July 31, 2008 July 31, 2008
- 11:15