SEC penalizes two former PwC employees
Auditor and senior associate netted unlawful trading profits
- By: James Langton
- January 15, 2008 January 15, 2008
- 16:39
Latest news in From the Regulators
SIFMA welcomes decision in Stoneridge case
Shareholders cannot sue third-parties who did business with a company that engaged in fraud
- By: James Langton
- January 15, 2008 January 15, 2008
- 16:35
IDA fines HSBC Securities rep $40,000
Ng suspended for one year
- By: IE Staff
- January 14, 2008 January 14, 2008
- 16:15
IDA panel slaps Peregrine Financial with $40,000 fine
A hearing panel of the Investment Dealers Association of Canada Peregrine Financial Group Canada Inc. $40,000 being capital deficient.Following a settlement hearing, the panel accepted…
- By: IE Staff
- January 14, 2008 January 14, 2008
- 14:50
FSA publishes review of listings regime
Paper sets out new structure in which securities subject to higher standards will be more clearly separated from directive minimum standards
- By: IE Staff
- January 14, 2008 January 14, 2008
- 13:10
IDA disciplines two Jones Gable brokers
Mansour fined, Séguin awaits penalty hearing
- By: Regan Ray
- January 13, 2008 January 13, 2008
- 15:53
OSFI updates capital adequacy requirements for financial institutions
The Office of the Superintendent of Financial Institutions has issued a couple of updates to capital adequacy requirements.A new advisory from OSFI addresses changes to…
- By: James Langton
- January 11, 2008 January 11, 2008
- 16:20
CSA’s proposed “soft dollar” rules now out for comment
Revised regs provide framework for the use of brokerage commissions
- By: James Langton
- January 11, 2008 January 11, 2008
- 13:55
Beware of telephone securities promoters: NSSC
Regulators in Nova Scotia warning investors to steer clear of potential scams
- By: James Langton
- January 10, 2008 January 10, 2008
- 17:25
OSFI issues rulings on foreign banks, insurance
The Office of the Superintendent of Financial Institutions has issued a couple of new rulings, one dealing with foreign banks, and the other on classes…
- By: James Langton
- January 9, 2008 January 9, 2008
- 17:10
IDA panel finds Golden Capital Securities guilty
Firm withheld information needed for an investigation
- By: Regan Ray
- January 9, 2008 January 9, 2008
- 13:27
FINRA fines 19 firms for falsifying trade volumes
Three major Canadian broker-dealers a part of the action
- By: James Langton
- January 8, 2008 January 8, 2008
- 16:50
SEC, SEBI announce increased cooperation
Securities regulators in the United States and India today announced terms for increased co-operation and collaboration.The U.S. Securities and Exchange Commission (SEC) and the Securities…
- By: James Langton
- January 8, 2008 January 8, 2008
- 16:30
CSA releases latest report on securities enforcement
Report intended to raise public awareness of enforcement efforts
- By: Regan Ray
- January 8, 2008 January 8, 2008
- 11:50
IDA penalizes two former NBF brokers
Business partners admit to misconduct related to options orders
- By: Regan Ray
- January 8, 2008 January 8, 2008
- 10:45
Saskatchewan financial compensation order provisions now in effect
New provisions give regulator the power to repay financial losses of up to $100,000 to each investor
- By: James Langton
- January 7, 2008 January 7, 2008
- 16:55
NYSE MatchPoint rules approved by SEC
Trading scheduled to begin on Jan. 22
- By: James Langton
- January 7, 2008 January 7, 2008
- 10:55
RBC Asset Management granted reporting exemption
RBC Asset Management Inc. has received a regulatory exemption from certain mutual fund portfolio reporting requirements, provided that disclosure is made in the management reports…
- By: IE Staff
- January 6, 2008 January 6, 2008
- 15:35
Regulators approve manager change for Ethical and Northwest funds
New limited partnership owned by Credit Union Centrals and Fédération des caisses Desjardins du Québec
- By: James Langton
- January 6, 2008 January 6, 2008
- 14:50
Berkshire reps cleared to pay commission rebates on Manulife funds
Regulators have granted relief to Berkshire dealers recently acquired by Manulife Financial allowing reps to pay commission rebates to clients that switch into funds within…
- By: James Langton
- January 6, 2008 January 6, 2008
- 14:25
Investment firm fined for failing to register in B.C.
Dorchester Investment agrees to pay $40,000 fine
- By: IE Staff
- January 4, 2008 January 4, 2008
- 09:40
SEC releases report on investment advisor, broker-dealer industries
Study explores industry, investor perspectives on customer relationships with financial service providers
- By: James Langton
- January 3, 2008 January 3, 2008
- 16:40
BCSC upholds IDA panel ruling on Victoria fund salesman
Michaels withheld details off-book share sales
- By: IE Staff
- January 3, 2008 January 3, 2008
- 14:10
IDA bulletin outlines sanctions against Myanmar
Canadians prohibited from providing financial services
- By: James Langton
- January 2, 2008 January 2, 2008
- 15:50
BCSC panel fines and permanently bans man for breaching order
Alexander breached 1999 order by acting as a director and officer of four private companies
- By: IE Staff
- January 2, 2008 January 2, 2008
- 15:10