ASC orders Goldtech trio to pay $195,000 in penalties and costs
Illegal distribution of shares deprived investors of basic protections, regulator says
- By: IE Staff
- October 11, 2007 October 11, 2007
- 11:10
Latest news in From the Regulators
IDA outlines changes to anti-money laundering rules
The Investment Dealers Association of Canada has issued a notice outlining changes to anti-money laundering and terrorist financing rules.On June 27, 2007, the federal government…
- By: James Langton
- October 11, 2007 October 11, 2007
- 08:30
BCSC orders stock picker to compensate investors
Budai receives lifetime ban
- By: IE Staff
- October 10, 2007 October 10, 2007
- 16:10
NYSE Regulation fines several firms for violations
NYSE Regulation reports that it has disciplined several firms for a variety of violations of exchange rules, and several individuals have also been sanctioned, including…
- By: James Langton
- October 10, 2007 October 10, 2007
- 14:50
IDA fines Edmonton man $40,000
Mirza failed to co-operate with investigation
- By: IE Staff
- October 10, 2007 October 10, 2007
- 13:55
MSC to allow fund reps to flow commissions through their personal corporations
Regulator requires a written contract between corporation and dealer
- By: James Langton
- October 10, 2007 October 10, 2007
- 10:45
SEC unveils new unit to lead global move to interactive data
S&P executive tapped to lead regulators’s Office of Interactive Disclosure
- By: IE Staff
- October 9, 2007 October 9, 2007
- 13:15
SEC calls for better disclosure of executive compensations
Regulator reviews compliance with executive compensation disclosure rules
- By: James Langton
- October 9, 2007 October 9, 2007
- 10:20
NYSE Regulation settles with 15 firms for prospectus delivery failures and other violations
Firms will pay a total of US$10.425 million
- By: IE Staff
- October 9, 2007 October 9, 2007
- 09:30
BCSC sanctions former president of OTC BB company
Aberdene head approved misleading press releases
- By: IE Staff
- October 9, 2007 October 9, 2007
- 09:15
Flaherty names new governor of the Bank of Canada
Mark Carney, 42, a senior official in the federal Finance Department, will be the next governor of the Bank of Canada, replacing the retiring David…
- By: IE Staff
- October 4, 2007 October 4, 2007
- 15:20
Newfoundland delegates registration of reps and firms to IDA
Review of all submissions will be performed by IDA staff
- By: James Langton
- October 3, 2007 October 3, 2007
- 14:55
NASAA installs new president, board of directors
Tyler named president; Joseph to serve as president-elect
- By: IE Staff
- October 3, 2007 October 3, 2007
- 09:10
OSC charges Imagin Diagnostic Centres
The Ontario Securities Commission has filed charges of violating securities law against Patrick Rooney, his wife Cynthia Jordan and five employees at Imagin Diagnostic Centres…
- October 2, 2007 October 2, 2007
- 15:55
U.S. Commodity Futures Trading Commission continues aggressive enforcement program
CFTC achieved record judgments during Fiscal Year 2007
- October 2, 2007 October 2, 2007
- 14:10
French regulator OKs use of U.S. filings
U.S. standards called equivalent to European requirements
- By: James Langton
- October 2, 2007 October 2, 2007
- 10:35
OSFI issues advisory on the insurance of risks
The Office of the Superintendent of Financial Institutions has issued a new regulatory and legislative advisory on the insurance of risks in Canada.The advisory provides…
- By: James Langton
- October 1, 2007 October 1, 2007
- 15:40
AMF issues second proposal on registration reform
Quebec regulator sets out measures to harmonize regulation for fund distribution sector
- By: James Langton
- October 1, 2007 October 1, 2007
- 15:35
Mawer, Desjardins granted exemptions from self-dealing prohibitions
Exemptions allow related parties to acquires funds’ ABCP
- By: James Langton
- September 30, 2007 September 30, 2007
- 14:25
CSA reviewing corporate governance rules
Findings to be published in 2008
- By: James Langton
- September 30, 2007 September 30, 2007
- 14:20
OSC approves amendments to IDA proficiency requirements
Changes establish standards for the qualification of chief compliance officers
- By: James Langton
- September 28, 2007 September 28, 2007
- 13:55
Regulators clarify differences between institutional trades and broker to broker trades
IDA, CDS issue joint notice
- By: James Langton
- September 28, 2007 September 28, 2007
- 09:15
Ontario man faces 16 charges following investment fraud investigation
Eight investors fleeced
- By: James Langton
- September 28, 2007 September 28, 2007
- 08:50
Morgan Stanley to pay US$12.5 million to FINRA
The U.S. Financial Industry Regulatory Authority today announced a settlement with Morgan Stanley & Co. over allegations that it failed to provide emails to regulators…
- By: James Langton
- September 27, 2007 September 27, 2007
- 13:10
ASC seeking permanent cease trade order against firms barred by NBSC
Saxon Consultants, Merchant Capital Markets and Meisner Corp.
- By: IE Staff
- September 27, 2007 September 27, 2007
- 12:45