FINRA funds research to improve disclosure of financial product information
Project will research how to mitigate common errors made by individual investors
- By: James Langton
- October 23, 2007 October 23, 2007
- 14:50
Latest news in From the Regulators
MFDA panel rejects settlement with Berkshire
Proposed agreement concerned allegations that Berkshire failed to conduct reasonable supervisory investigations of the activities of former rep Thow
- By: James Langton
- October 23, 2007 October 23, 2007
- 07:35
ASC seeks ban against B.C. businessman
Alberta egulator looking for similar sanctions imposed by BCSC
- By: IE Staff
- October 19, 2007 October 19, 2007
- 10:15
Credit unions contribute record amount to community projects in 2006
$34.7 million donated to community efforts
- By: IE Staff
- October 18, 2007 October 18, 2007
- 09:20
AMF report refutes need for single securities commission
Excessive cost of existing Canadian securities regulation is highly debatable, report says
- By: James Langton
- October 17, 2007 October 17, 2007
- 16:15
Industry-wide business continuity test a success, IDA says
More complex tests involving more participants under discussion
- By: James Langton
- October 17, 2007 October 17, 2007
- 16:10
Former Berkshire salesperson committed fraud, BCSC panel finds
A British Columbia Securities Commission panel has found that Ian Gregory Thow, a former mutual fund salesperson with Berkshire Investment Group Inc., perpetrated a multi-million…
- By: IE Staff
- October 17, 2007 October 17, 2007
- 09:55
NASAA examinations identify advisor deficiencies
Securities regulators update best practices to help advisors strengthen compliance procedures
- By: James Langton
- October 16, 2007 October 16, 2007
- 07:45
Nortel Networks pays US$35 million to settle financial fraud charges with SEC
Nortel will provide quarterly written reports detailing its progress in implementing its remediation plan
- By: James Langton
- October 15, 2007 October 15, 2007
- 13:40
CSA amends standards of disclosure for oil and gas activities
The Canadian Securities Administrators is implementing amendments to the national rule that sets standards of disclosure for oil and gas activities.The CSA adopted the rule,…
- By: James Langton
- October 14, 2007 October 14, 2007
- 15:50
Danier Leather did not mislead investors: Supreme Court
Court dismisses class action
- By: IE Staff
- October 12, 2007 October 12, 2007
- 14:50
ASC launches investor awareness campaign
“Check First” focuses on impact of an unsafe investment
- By: IE Staff
- October 12, 2007 October 12, 2007
- 11:25
FINRA rolls out small firm emergency partner program
Voluntary initiative designed to help firms serve customers during disruptions
- By: James Langton
- October 11, 2007 October 11, 2007
- 15:20
Court orders CIBC to pay costs in mortgage default case
An Ontario Superior Court judge has denied CIBC’s motion for costs in a mortgage default case, ordering costs for the defendant instead, branding the bank’s…
- By: James Langton
- October 11, 2007 October 11, 2007
- 14:55
Appeal court upholds BCSC penalty against Seifert
$450,000 administrative penalty was negotiated before court established $100,000 maximum limit
- By: James Langton
- October 11, 2007 October 11, 2007
- 12:35
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
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