Saxon Financial reports record second quarter results
Third dividend increase in two years
- By: IE Staff
- August 9, 2007 August 9, 2007
- 09:30
Latest news in From the Regulators
NYSE fines four firms for supervisory violations
Fines total US$710,000
- By: James Langton
- August 9, 2007 August 9, 2007
- 07:40
MFDA issues update on anti-money laundering reporting rules
Summary of changes posted to FINTRAC Web site
- By: James Langton
- August 8, 2007 August 8, 2007
- 15:50
Investment fraud suspect found after 5-month search
Ontario broker alleged to have invested client GIC funds in the stock market
- By: IE Staff
- August 8, 2007 August 8, 2007
- 09:35
IDA fines Doering $12,500
Mississauga rep traded in off book private placements
- By: IE Staff
- August 7, 2007 August 7, 2007
- 14:55
SEC charges UK trader with illegal insider trading
Suterwalla made over US$3 million in illicit profits trading in Petco Animal Supplies
- By: James Langton
- August 7, 2007 August 7, 2007
- 10:30
ASC prohibits firms from trading in securities
Saxon Consultants, Merchant Capital Markets and Meisner Corp.
- By: IE Staff
- August 6, 2007 August 6, 2007
- 12:10
CFTC examine trading on regulated exchanges and exempt commercial markets
Hearing scheduled for September
- By: James Langton
- August 3, 2007 August 3, 2007
- 07:55
FINRA Fines Morgan Stanley US$1.5 million
The U.S. Financial Industry Regulatory Authority today announced that it has fined Morgan Stanley DW Inc. (now known as Morgan Stanley & Co. Inc.) US$1.5…
- By: James Langton
- August 2, 2007 August 2, 2007
- 15:10
FINRA announces interim board of governors
Elections for 3-year transition board to be conducted on October 26
- By: James Langton
- August 2, 2007 August 2, 2007
- 14:50
Changes to rules governing locked-in accounts in Ontario
Owners of existing LIFs no longer required to purchase an annuity by the end of the year in which they reach 80
- By: James Langton
- August 1, 2007 August 1, 2007
- 16:10
NYSE Regulation appoints new market surveillance and enforcement heads
Marchman to lead enforcement division
- By: James Langton
- August 1, 2007 August 1, 2007
- 12:50
ASC alleges illegal trading by Calgary advisor
Hearing scheduled for September 26
- By: IE Staff
- July 31, 2007 July 31, 2007
- 14:20
IDA announces disciplinary hearing
Advisor at Jones, Gable & Co. may be disciplined
- By: IE Staff
- July 31, 2007 July 31, 2007
- 13:57
ASC penalizes Alberta man for illegal distribution of securities
Daniel Edwin Stewart prohibited from participating in the capital markets for 4 years
- By: IE Staff
- July 31, 2007 July 31, 2007
- 09:52
IDA Prairie office needs to address registration, internal communication and supervision issues: report
ASC releases oversight review
- By: IE Staff
- July 30, 2007 July 30, 2007
- 15:45
SEC sanctions former Prudential Securities head over market timing
Rice failed to supervise reps, regulator says
- By: James Langton
- July 30, 2007 July 30, 2007
- 15:40
IDA panel dismisses charge against Blackmont advisor
Julius Caesar Phillip Vitug cleared
- By: IE Staff
- July 30, 2007 July 30, 2007
- 14:05
NBSC issues temporary cease-trade against Meisner Inc. et al
Commission concerned about increase in boiler-room activity
- By: IE Staff
- July 30, 2007 July 30, 2007
- 12:56
Financial Industry Regulatory Authority begins operations
FINRA will oversee 5,000 securities firms
- By: James Langton
- July 30, 2007 July 30, 2007
- 08:37
CSA says regulatory initiatives should ease concerns about PPNs
But notes issued by caisses populaires still not subject to proposed legislation
- By: James Langton
- July 29, 2007 July 29, 2007
- 13:57
ASC seeks reciprocal orders against advisors
Advisors admit they violated securities laws
- By: IE Staff
- July 27, 2007 July 27, 2007
- 15:42
CSA announces cease trade order policy
New policy addresses confusion caused by various revocation policies
- By: James Langton
- July 27, 2007 July 27, 2007
- 09:01
OECD and IOPS seek feedback on pension licensing
Deadline for comment is Oct. 5
- By: James Langton
- July 27, 2007 July 27, 2007
- 08:40
UK’s Financial Services Authority unveils new training regime
FSA aims to streamline and simplify program
- By: James Langton
- July 27, 2007 July 27, 2007
- 08:32