Current method of regulating hedge funds is best: Bank of Canada report
Although hedge fund failures are not uncommon, they typically don’t have systemic implications
- By: James Langton
- September 10, 2007 September 10, 2007
- 13:52
Latest news in From the Regulators
IDA appeal panel allows Credifinance Securities Ltd. appeal
Previous IDA hearing panel had found firm guilty of failing to co-operate
- By: IE Staff
- September 10, 2007 September 10, 2007
- 13:30
U.S. regulators target investment seminars for seniors
A report released on Monday found that over a year, 100% of the seminars were actually sales presentations
- By: James Langton
- September 10, 2007 September 10, 2007
- 12:36
FINRA to undertake two new major regulatory sweeps
New U.S. SRO will look at brokers using “professional” designations and at early retirement seminars aimed at misleading and defrauding investors
- By: James Langton
- September 10, 2007 September 10, 2007
- 10:19
Regulators offer relief from commingling prohibitions
Relief issued by four provinces so far
- By: James Langton
- September 9, 2007 September 9, 2007
- 15:40
RS proposes changes to short sale trading rules
Comments due Oct. 9
- By: James Langton
- September 7, 2007 September 7, 2007
- 14:15
IDA suspends former NBF employee for one year
Laval woman misappropriated client funds
- By: IE Staff
- September 7, 2007 September 7, 2007
- 11:37
ASC seeks market bans against Calgary man
Kuhn convicted in Cayman Islands court for theft of investors’ funds
- By: IE Staff
- September 7, 2007 September 7, 2007
- 10:25
Lawsuit against fund dealers in Portus case blocked
Court finds reason to doubt correctness of June decision
- By: James Langton
- September 6, 2007 September 6, 2007
- 15:10
Bank of Canada scales back measures to boost liquidity
Central bank continues to closely monitor financial markets
- By: James Langton
- September 6, 2007 September 6, 2007
- 14:55
Chief Actuary unveils external peer review panel for CPP report
The Office of the Chief Actuary has established a panel of actuaries to review the 23rd Actuarial Report on the Canada Pension Plan (CPP).Produced every…
- By: IE Staff
- September 6, 2007 September 6, 2007
- 11:20
FINRA fines AXA Advisors US$1.2 million for fee-based account violations
Firm voluntarily adds US$1.2 million to customer refund fund
- By: James Langton
- September 5, 2007 September 5, 2007
- 15:10
ASC seeking reciprocal order against Calgary man
BCSC order prohibited Cramer from using exemptions and from holding a director or officer position for 12 years
- By: IE Staff
- September 5, 2007 September 5, 2007
- 14:20
SEC charges Boston Stock Exchange and former exchange president with failing to police specialists
Regulator says Crofwell knew procedures were inadequate
- By: James Langton
- September 5, 2007 September 5, 2007
- 11:35
ASC extends interim cease trade order against Calgary man
Order prohibits Del Bianco from trading in all securities and from using any Alberta securities law exemptions
- By: IE Staff
- September 5, 2007 September 5, 2007
- 10:50
IDA fines former IPC Securities rep $50,000
Regulator imposes permanent ban on Milardovic for failure to cooperate
- By: IE Staff
- September 5, 2007 September 5, 2007
- 10:25
UK regulator adopts new framework for recognizing industry guidance
FSA says change is an important step in the move towards principles-based regulation
- By: James Langton
- September 4, 2007 September 4, 2007
- 15:45
CSA outlines how passport system will work without Ontario
Concept is to create interfaces that give market participants full access
- By: James Langton
- September 3, 2007 September 3, 2007
- 16:45
RS releases 2007 report
Revenue up 9.3%, but expected to decline
- By: James Langton
- September 3, 2007 September 3, 2007
- 09:50
CSA delays changes to executive compensation disclosure
Regulators will revise guidelines
- By: James Langton
- September 3, 2007 September 3, 2007
- 09:50
ASC seeking reciprocal order against Braun
Regulator seeking to remove Edmonton woman from capital markets following fraud conviction
- By: IE Staff
- August 30, 2007 August 30, 2007
- 13:30
BCSC issues notice of hearing to extend temporary order against offshore bank
The executive director of the British Columbia Securities Commission has issued a notice of hearing to extend a temporary order issued against a European-based bank…
- By: IE Staff
- August 30, 2007 August 30, 2007
- 08:50
ASC issues cease trade order against Klein and Kleincorp
The Alberta Securities Commission issued a cease trade order against Daryl Joseph Klein and Kleincorp Mgmt. Inc., carrying on business as Insta-Cash Loans.The ASC issued…
- By: IE Staff
- August 29, 2007 August 29, 2007
- 12:55
IDA fines Peterborough man $35,000
A hearing panel of the Investment Dealers Association of Canada has imposed discipline penalties on Ronald Keith Furevick, at all material times an approved person…
- By: IE Staff
- August 28, 2007 August 28, 2007
- 13:10
IDA panel finds Djordjevic guilty of forgery
Penalty hearing scheduled for October 10
- By: IE Staff
- August 27, 2007 August 27, 2007
- 11:35