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
Latest news in From the Regulators
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
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
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