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
Latest news in From the Regulators
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
ECB takes steps to ensure banking liquidity
The European Central Bank announced that it will be taking added measures to ensure banking system liquidity over the holidays.The ECB’s governing council decided, by…
- By: IE Staff
- November 30, 2007 November 30, 2007
- 11:52
Regulatory system works fine, says NASAA
The North American Securities Administrators Association says that the current securities industry regulatory structure doesn’t need any major changes.In a submission to the U.S. Department…
- By: IE Staff
- November 30, 2007 November 30, 2007
- 11:12
SEC releases sample format for proposed mutual fund summary prospectus
Commission seeks investor input on proposal to improve mutual fund disclosure
- By: James Langton
- November 29, 2007 November 29, 2007
- 16:35
MFDA issues second notice of settlement hearing in Berkshire case
Previous settlement rejected by panel
- By: James Langton
- November 29, 2007 November 29, 2007
- 12:25
BCSC issues temporary order against principal of Vancouver investor relations firm
Regulator alleges Badshah committed fraud
- By: IE Staff
- November 29, 2007 November 29, 2007
- 10:35
FINRA fines Wachovia for deficient disclosures in research reports
The Financial Industry Regulatory Authority announced that it has censured and fined Wachovia Capital Markets, LLC US$300,000 for violations of FINRA’s research analyst conflict of…
- By: James Langton
- November 28, 2007 November 28, 2007
- 16:45
IOSCO Task Force publishes final report on private equity
The International Organization of Securities Commissions published the report of its Technical Committee’s Task Force on Private Equity today, highlighting plans to focus further work…
- By: James Langton
- November 28, 2007 November 28, 2007
- 16:40
OSC names special advisor on enforcement and ethics
Angus appointment takes effect in January
- By: IE Staff
- November 28, 2007 November 28, 2007
- 15:30
Registration reform hinges on harmonious application of new standard
Consistency across jurisdictions proved the biggest challenge, panel says
- By: Kate Betts-Wilmott
- November 27, 2007 November 27, 2007
- 15:15