OSC releases compliance activities review
Compliance team planning to update risk assessment models for investment counsel and portfolio managers and fund managers
- By: IE Staff
- August 26, 2007 August 26, 2007
- 13:20
Latest news in From the Regulators
OSC amends director designation and determination
Change reflects restructuring of capital markets branch into two new branches
- By: James Langton
- August 24, 2007 August 24, 2007
- 13:35
IDA panel finds HSBC Securities rep guilty of unknowingly facilitating market manipulation
Penalties to be determined at a later date
- By: IE Staff
- August 24, 2007 August 24, 2007
- 09:50
BCSC issues orders against convicted fraudsters
Investment scheme resulted in at least $1.8 million in investor losses
- By: IE Staff
- August 24, 2007 August 24, 2007
- 09:10
B.C. advisor a victim of Nigerian letter scam
The Supreme Court of British Columbia has ruled that a rookie financial advisor that fell victim to a Nigerian letter scam was indeed a victim,…
- By: James Langton
- August 23, 2007 August 23, 2007
- 15:55
OSC will not appeal Felderhof acquittal
Regulator considers judge's decision
- By: IE Staff
- August 23, 2007 August 23, 2007
- 13:15
NBSC assesses penalties totalling $350,000 in Limelight case
Limelight intentionally defrauded investors of almost $80,000
- By: IE Staff
- August 23, 2007 August 23, 2007
- 10:50
MFDA reminds dealers to maintain evidence of disclosure
Notice MR-0064 aims to clarify the obligations of dealers and reps
- By: James Langton
- August 22, 2007 August 22, 2007
- 15:10
U.S. mutual funds begin providing risk-return information using interactive data
U.S. retail investors may soon have new source of investing information
- By: James Langton
- August 21, 2007 August 21, 2007
- 15:40
Bank of Canada welcomes industry effort to support asset-backed commercial paper market
Central bank calls commitment “helpful”
- By: James Langton
- August 16, 2007 August 16, 2007
- 15:45
Finance officials monitoring TSX selloff, Flaherty says
With the S&P/TSX composite index down about 570 points at midday, Jim Flaherty, Minister of Finance, made a statement intended to assuage investors.“As I have…
- By: James Langton
- August 16, 2007 August 16, 2007
- 13:10
IDA fines Peak Securities $30,000
Firm did not incur any financial risk as a result of short-term capital deficiency
- By: IE Staff
- August 15, 2007 August 15, 2007
- 14:40
NBSC issues permanent cease-trade order Meisner Inc. S.A.
The New Brunswick Securities Commission has issued a permanent cease-trade order against Meisner Inc. S.A, Meisner Corporation, Meisner Incorporated, Jorge Vizcarra and George Dizcarra. The…
- By: IE Staff
- August 15, 2007 August 15, 2007
- 13:10
N.B. regulator approves MFDA as SRO
NBSC to take another look at personal corporations rule
- By: James Langton
- August 15, 2007 August 15, 2007
- 07:40
IDA disciplines former Edward Jones rep
Richmond B.C. broker fined $45,000 and handed six week suspension
- August 14, 2007 August 14, 2007
- 14:20
NYSE Regulation fines brokerage US$2.5 million for stock loan violations
Janney Montgomery Scott engaged in away-from-market stock loan transactions
- By: IE Staff
- August 14, 2007 August 14, 2007
- 12:10
MX releases reasons for decision to discipline Canaccord rep
Beaudoin fined $35,000
- By: IE Staff
- August 14, 2007 August 14, 2007
- 11:40
Financial markets returning to normal, ECB head says
Trichet calls all parties to keep their composure
- By: James Langton
- August 14, 2007 August 14, 2007
- 09:40
MFDA seeking members for policy committee
Deadline for applications is September 28
- By: James Langton
- August 13, 2007 August 13, 2007
- 16:10
Saskatchewan regulator lifts prohibition on commingling of funds
Exemption subject to conditions
- By: James Langton
- August 13, 2007 August 13, 2007
- 15:50
CSA sets out collaboration framework for Financial Services OmbudsNetwork
Memo outlines architecture for ongoing relationships among regulators and the OmbudServices
- By: James Langton
- August 13, 2007 August 13, 2007
- 10:55
Regulators approve subsidies for educational conferences
CIFPs firms permitted to pay a portion of direct costs incurred in organizing and presenting annual national conference
- By: James Langton
- August 13, 2007 August 13, 2007
- 10:20
BCSC to hold hearing into alleged illegal distribution of Bright Star securities
Company director failed to file insider reports
- By: IE Staff
- August 13, 2007 August 13, 2007
- 07:55
Fed approves Scotiabank investment in Puerto Rican bank
Scotia clear to acquire 10% of voting shares of First BanCorp.
- By: IE Staff
- August 9, 2007 August 9, 2007
- 12:50
Bank of Canada reassures market participants
Central bank says if will provide liquidity to preserve market stability
- By: James Langton
- August 9, 2007 August 9, 2007
- 12:10