OSC sends new rules to minister for evaluation
New regulations cover takeover and issuer bids
- By: James Langton
- December 14, 2007 December 14, 2007
- 14:59
Latest news in From the Regulators
OSC approves amendments to TSX direct trading rules
TSX Inc. has adopted, and the Ontario Securities Commission has approved, amendments to the direct access trading rules that broaden the prescribed classes of eligible…
- By: James Langton
- December 14, 2007 December 14, 2007
- 14:50
MFDA fines Berkshire $500,000 for role in Thow case
Dealer failed to take reasonable supervisory and disciplinary measures
- By: James Langton
- December 14, 2007 December 14, 2007
- 08:30
Beware of holiday investment fraud, NASAA warns
Securities regulators are concerned that holiday goodwill could lead to dangerous investing
- By: James Langton
- December 13, 2007 December 13, 2007
- 17:39
Ontario proposes $1.4 billion in tax relief for business, people
Province extends LSIF tax credit
- By: IE Staff
- December 13, 2007 December 13, 2007
- 16:40
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
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