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
Latest news in From the Regulators
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
ECB to renew two supplementary 3-mth longer-term refinancings
The European Central Bank announced today that it is extending efforts to ensure money market liquidity.The Governing Council of the ECB decided to renew the…
- By: James Langton
- July 31, 2008 July 31, 2008
- 10:50
OSFI releases guide to intervention for life insurance companies
Objective is to promote awareness and enhance transparency of the intervention framework for federally regulated life insurance companies
- By: James Langton
- July 31, 2008 July 31, 2008
- 09:35
SEC charges fund manager for violating SRI restrictions
Pax World Management order to pay US$500,000 penalty
- By: James Langton
- July 30, 2008 July 30, 2008
- 12:35
CFTC charges Canadian couple with fraud in connection with commodity pool
Alleged Ponzi scheme fleeced 900 U.S. investors
- By: James Langton
- July 30, 2008 July 30, 2008
- 10:50
Fed extends emergency lending to investment banks
Plans to increase the size of a swap line with the European Central Bank
- By: James Langton
- July 30, 2008 July 30, 2008
- 08:45
SEC extends short-selling rules
Temporary order continues prohibition covering 19 financial stocks until Aug. 12
- By: IE Staff
- July 30, 2008 July 30, 2008
- 07:55
ASC bans B.C. man for illegal trading
Rivers illegally distributed NOF Electrical Generation Securities worth $4.5 million
- By: IE Staff
- July 29, 2008 July 29, 2008
- 12:55
Arrests made in UK insider trading investigation
The UK’s Financial Services Authority has made several arrests made in a major insider dealing investigation.The FSA reports that it arrested eight individuals and executed…
- By: James Langton
- July 29, 2008 July 29, 2008
- 08:50