Golden Capital CFO faces IDA hearing
Lotz accused failing to disclose information to his firm
- By: Regan Ray
- February 7, 2008 February 7, 2008
- 12:38
Latest news in From the Regulators
NASAA calls for increased fairness of securities arbitration system
SICA study surveyed customers on arbitration panel experiences
- By: James Langton
- February 6, 2008 February 6, 2008
- 17:04
U.S. hedge fund adviser charged $40 million for late trading scheme: SEC
Ritchie Multi-Strategy Global Trading Ltd. and two executives were charged
- By: James Langton
- February 6, 2008 February 6, 2008
- 07:41
SEC creates collections and distributions office
New office will expedite the return of funds to injured investors
- By: James Langton
- February 5, 2008 February 5, 2008
- 16:08
SEC completes settlement with former Dow board member
Li, Leung and Wong fined for insider trading related to $15 million in Dow Jones securities
- By: James Langton
- February 5, 2008 February 5, 2008
- 16:01
Fed Board approves Royal Bank’s acquisition of Alabama National
RBC Centura will be 47th largest bank in the U.S.
- By: James Langton
- February 5, 2008 February 5, 2008
- 15:48
Don’t panic in volatile markets: NSSC
Commission warns that hasty decisions can make matters worse
- By: James Langton
- February 5, 2008 February 5, 2008
- 10:53
BCSC fines CEO for fraud
Savage fined $100,000 and shut out of markets for ten years
- By: Regan Ray
- February 5, 2008 February 5, 2008
- 10:41
CSA invites youth to enter Financial Fitness Challenge contest
Quiz participants get chance to win a $750 scholarship
- By: IE Staff
- February 4, 2008 February 4, 2008
- 13:30
MX files application with AMF regarding proposed merger with TSX Group
Montreal Exchange Inc. (MX) announced Friday that it has filed an application to the Autorité des marchés financiers (AMF) for an amendment of its recognition…
- By: James Langton
- February 4, 2008 February 4, 2008
- 10:25
RBC Asset Management granted inter-fund trading exemption
Applicants for similar relief should structure application as direct exemption, regulators say
- By: IE Staff
- February 3, 2008 February 3, 2008
- 14:40
OBSI not a regulator, Agnew says
Ombudsman for Banking Services and Investments defends proposed mandate changes
- By: Regan Ray
- February 3, 2008 February 3, 2008
- 12:35
SEC proposes to delay requirements under Section 404 of SOX
Small companies would pay starting at the end of 2009
- By: James Langton
- February 1, 2008 February 1, 2008
- 14:48
EU and SEC working toward mutual recognition for securities
Heads say first step is to create a framework for discussions
- By: James Langton
- February 1, 2008 February 1, 2008
- 14:39
Canadian regulators harmonize take-over bid and issuer bid rules
The Canadian Securities Administrators today announced the implementation of harmonized national take-over bid and issuer bid requirements.The step is intended to provide greater certainty and…
- By: James Langton
- February 1, 2008 February 1, 2008
- 09:20
AMF unveils solvency requirements for insurers
Document outlines new structure for principle-based solvency financial requirements
- By: James Langton
- January 31, 2008 January 31, 2008
- 16:45
Investors warned to be wary of social networking sites: BCSC
BCSC says some Web sites are ripe for investment fraud
- By: Regan Ray
- January 31, 2008 January 31, 2008
- 10:24
NASAA outlines legislative priorities
The North American Securities Administrators Association announced its legislative priorities for the year ahead.NASAA President and North Dakota Securities Commissioner Karen Tyler said its’ 11-point…
- By: James Langton
- January 30, 2008 January 30, 2008
- 16:50
Revisions to OBSI mandate would create regulatory overlap: IFIC
Association calls for improved policy coordination on resolution of consumer disputes
- By: James Langton
- January 30, 2008 January 30, 2008
- 15:25
ASC sanctions Edmonton businessmen for illegal trades
The Alberta Securities Commission (ASC) has ordered payment of administrative penalties and costs, along with market bans, against Edmonton-area residents Richard George Kearl, Ross Vincent…
- By: IE Staff
- January 30, 2008 January 30, 2008
- 14:55
Investor confidence hampered by market turmoil, UK regulator says
FSA publishes Financial Risk Outlook for 2008
- By: James Langton
- January 29, 2008 January 29, 2008
- 10:25
Norbourg founder gets 12-year sentence
Lacroix fined $255,000
- By: IE Staff
- January 29, 2008 January 29, 2008
- 08:55
NASAA issues warning on investment scams
Investors nearing retirement are particularly at risk of being targeted by investment schemes promising high returns
- By: James Langton
- January 28, 2008 January 28, 2008
- 16:40
Investment fraud on the rise in New Brunswick
NBSC launches public awareness campaign to educate New Brunswickers on how to avoid scams
- By: James Langton
- January 27, 2008 January 27, 2008
- 16:40
Securities passport system implemented
Regulators introduce streamlined review policies for passport jurisdictions and Ontario
- By: IE Staff
- January 25, 2008 January 25, 2008
- 11:10