ASC permanently bans B.C. resident from Alberta market
nderson illegally raised $14.7 million in two investment schemes
- By: IE Staff
- December 13, 2007 December 13, 2007
- 16:10
Latest news in From the Regulators
ASC permanently bans B.C. resident from Alberta market
Former CIBC broker hit with $25,000 fine
Penalties stem from actions surrounding private placement investments
- By: Regan Ray
- December 13, 2007 December 13, 2007
- 14:49
IDA fines former TD Waterhouse broker $25,000
Biren disciplined for making inappropriate trades for a family member
- By: Regan Ray
- December 13, 2007 January 16, 2020
- 14:18
Quebec regulator satisfied with Lacroix conviction
AMF to ask for “exemplary sentence”
- By: James Langton
- December 12, 2007 December 12, 2007
- 16:45
SEC to host discussions on use of International Financial Reporting Standards
Regulator to examine impact on U.S. markets
- By: James Langton
- December 12, 2007 December 12, 2007
- 16:40
SEC to seeks comment on changes to oil and gas disclosure requirements
The U.S. Securities and Exchange Commission is seeking public comment on possible revisions to its disclosure requirements for oil and gas reserves.The concept release poses…
- By: James Langton
- December 12, 2007 December 12, 2007
- 08:30
IDA panel finds two Toronto reps guilty of facilitating manipulative trading
Desjardins Securities duo failed to know their clients and properly monitor and assess their trading
- By: IE Staff
- December 11, 2007 December 11, 2007
- 14:20
Former Norbourg CEO convicted on 51 fraud charges
Former Norbourg CEO Vincent Lacroix was found guilty of 51 fraud charges in Montreal today.Quebec provincial court Judge Claude Leblond handed down the verdict.Lacroix, the…
- By: IE Staff
- December 11, 2007 December 11, 2007
- 13:25
Economy would benefit from reduced regulation in professions: study
SRO rules that limit advertising, set prices for services and restrict who can offer professional services may go further than necessary to protect the public
- By: James Langton
- December 11, 2007 December 11, 2007
- 13:25
CSA proposes changes to SEDI rules
Goal is to streamline filing of insider reports
- By: James Langton
- December 9, 2007 December 9, 2007
- 16:50
MFDA Investor Protection Corp. releases working group report
The Mutual Fund Dealers Association of Canada has published a report on the design and operation of its contingency fund.The MFDA Investor Protection Corp. was…
- By: IE Staff
- December 9, 2007 December 9, 2007
- 16:50
Alberta issues penalties to two auto insurers
Alberta’s Superintendent of Insurance has announced sanctions against two insurers.The regulator said it has issued penalties of $114,000 against ING Insurance Co. of Canada and…
- By: James Langton
- December 9, 2007 December 9, 2007
- 16:48
Swift Trade founder accused of misleading OSC staff
Beck hearing scheduled for January
- By: James Langton
- December 9, 2007 December 9, 2007
- 12:30
Wall Street analyst gets 18-month prison sentence for illegal insider trading
A former Morgan Stanley financial analyst, and her husband, each received 18 months in prison for insider trading and tipping.Michael Garcia, the US Attorney for…
- By: James Langton
- December 6, 2007 December 6, 2007
- 14:30
Calgary man guilty of unauthorized trading: IDA panel
Broker fired from Research Capital and Jennings Capital
- By: IE Staff
- December 6, 2007 December 6, 2007
- 14:10
Flaherty to introduce legislation for common securities regulator
Model will favour UK-style principles-based regulation
- By: James Langton
- December 6, 2007 December 6, 2007
- 11:10
IDA panel dismisses charge of failure to cooperate against Calgary man
Bahcheli reasonably relied on legal advice regarding solicitor-client privilege and privacy issues, panel finds
- By: IE Staff
- December 5, 2007 December 5, 2007
- 13:30
IDA expels Graydon Elliott Capital
A hearing panel of the Investment Dealers Association of Canada has expelled Graydon Elliott Capital Corp. from its membership.In its decision dated October 29 the…
- By: IE Staff
- December 5, 2007 December 5, 2007
- 12:50
FSA calls on lenders to protect themselves against a possible worsening of credit risks
The UK’s Financial Services Authority is urging lenders to protect themselves against a possible worsening of liquidity and credit risks. Speaking at the Council of…
- By: IE Staff
- December 4, 2007 December 4, 2007
- 11:45
MFDA names three industry directors
Directors to serve two-year terms
- By: James Langton
- December 4, 2007 December 4, 2007
- 10:40
IDA hearing panel fines Halifax branch manager $70,000
Youden failed to supervise Bagnell
- By: IE Staff
- December 3, 2007 December 3, 2007
- 14:35
ASC bans B.C. resident from Alberta market
Rempel raised $3.6 million through illegal trades and distributions of various securities
- By: IE Staff
- December 3, 2007 December 3, 2007
- 12:30
OSC publishes new newsletter for fund industry
The Investment Funds Branch of the Ontario Securities Commission has published the second issue of its newsletter for the fund industry, the Investment Funds Practitioner.The…
- By: IE Staff
- December 2, 2007 December 2, 2007
- 15:44
Canada Revenue Agency reaches union deal
A majority of members of the Public Service Alliance of Canada have voted in favour of accepting a tentative agreement with the Canada Revenue Agency.…
- By: IE Staff
- December 2, 2007 December 2, 2007
- 13:50
Canada’s system of international taxation to be studied
The federal Department of Finance has established an advisory panel to consider ways to improve the fairness and competitiveness of Canada’s system of international taxation.The…
- By: IE Staff
- November 30, 2007 November 30, 2007
- 13:12