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
Latest news in From the Regulators
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
CSA enacts amendments to oil and gas disclosure rules
Changes streamline annual filing requirements
- By: James Langton
- January 2, 2008 January 2, 2008
- 11:55
CSA creates national prospectus requirements
New rule will come into force in March
- By: James Langton
- December 21, 2007 December 21, 2007
- 16:10
Ex-Berkshire salesman fined $6 million
Thow handed lifetime ban from B.C. capital markets
- By: IE Staff
- December 21, 2007 December 21, 2007
- 14:55
ASC issues warning about Mexican real estate seminars
Unregistered offshore company offering seminars
- By: IE Staff
- December 21, 2007 December 21, 2007
- 13:10
REITs to benefit from changes to income trust legislation
Proposed amendments would remove limits on foreign property
- By: IE Staff
- December 21, 2007 December 21, 2007
- 09:10
IDA fines former Wolverton broker $20,000
Wall disciplined for misdeeds
- By: IE Staff
- December 20, 2007 December 20, 2007
- 15:42
CSA committee to focus on global credit and liquidity issues
Fewer than 100 public companies hold significant amounts of non-bank sponsored ABCP, regulators say
- By: James Langton
- December 20, 2007 December 20, 2007
- 14:10