NASD fines Wachovia Securities US$2 million for fee-based account violations
Regulator also orders firm to identify and pay restitution to 1,300 customers
- By: James Langton
- June 21, 2007 June 21, 2007
- 15:35
Latest news in From the Regulators
IDA slaps Beaudoin with $50,000 fine
Montreal rep permanently banned from approval for failing to cooperate
- By: IE Staff
- June 20, 2007 June 20, 2007
- 14:50
Toronto man arrested in multi-million-dollar investment fraud investigation
Police allege Lewis concealed trading losses and stole investors’ capital
- By: James Langton
- June 20, 2007 June 20, 2007
- 11:10
Flaherty announces new panel to improve securities regulation
Finance minister stresses importance of creating a Canadian advantage in global capital markets
- By: James Langton
- June 20, 2007 June 20, 2007
- 07:30
OSFI issues draft revised versions of guidelines general allowances impaired loans
Regulator proposes eliminating disclosure requirements
- By: James Langton
- June 19, 2007 June 19, 2007
- 15:15
Federal Reserves orders RBC Centure to pay US$107,000 civil penalty
Bank allegedly violated National Flood Insurance Act
- By: James Langton
- June 19, 2007 June 19, 2007
- 14:30
ASC fines LED Innovations, Mass $21,000 for illegal distribution
Medicine Hat handed five-year cease trading order
- By: IE Staff
- June 19, 2007 June 19, 2007
- 13:30
Sentry Select Commodities Income Trust should have paid more to redeeming unitholders, Ontario court rules
Decision to appeal under review
- By: IE Staff
- June 18, 2007 June 18, 2007
- 07:25
Canadian regulators release point of sale disclosure framework for investment funds
Proposed document would highlight a fund’s performance, risk and cost
- By: James Langton
- June 17, 2007 June 17, 2007
- 16:35
Changes make Securities Act more effective, N.B. regulator says
Harmonized regulatory framework part of passport system
- By: James Langton
- June 15, 2007 June 15, 2007
- 16:10
New SEC alerts designed to firms improve compliance programs
Sharing of examination findings can help compliance officers proactively fine-tune supervisory controls, regulator says
- By: James Langton
- June 15, 2007 June 15, 2007
- 15:50
SEC distributions to WorldCom fraud victims top US$500 million
Remaining US$250 million expected to be distributed later this year
- By: James Langton
- June 15, 2007 June 15, 2007
- 14:50
OSFI unveils new principles-based solvency financial requirements for life insurers
Proposed regime intended to encourage the use of improved risk-based business decisions
- By: James Langton
- June 15, 2007 June 15, 2007
- 13:30
Calgary man ordered to pay $175,000 for market manipulation
The Alberta Securities Commission (ASC) has ordered a five-year market ban (with exceptions), payment of a $50,000 administrative penalty and $125,000 in costs by James…
- By: IE Staff
- June 15, 2007 June 15, 2007
- 11:25
SEC moves to close loopholes in short-selling rule
Amendments will further reduce fails to deliver in certain equity securities, regulator says
- By: James Langton
- June 14, 2007 June 14, 2007
- 10:10
B.C. man receives lifetime trading ban for operating investment scheme
The British Columbia Securities Commission has permanently banned a B.C. man from trading securities after he admitted to raising nearly $2.4 million through an investment…
- By: IE Staff
- June 14, 2007 June 14, 2007
- 09:10
Contracts-for-Difference likely coming to Canada, IDA says
High leverage products can generate large profits or losses
- By: James Langton
- June 13, 2007 June 13, 2007
- 15:20
MFDA disciplines two prairie fund salesmen
Freynet fined $10,000; Jacobson fined $15,000
- By: IE Staff
- June 12, 2007 June 12, 2007
- 14:50
IDA fines Nova Scotia rep $20,000
Kentville man conducted discretionary trades in non-approved accounts
- By: IE Staff
- June 12, 2007 June 12, 2007
- 11:20
IDA fines Octagon Capital $50,000
Dealer failed to perform necessary due diligence, panel finds
- By: IE Staff
- June 11, 2007 June 11, 2007
- 13:55
BCSC overturns TSX-V decision to disqualify Nichols
Man with criminal convictions should not be disqualified from performing investor relations activities for listed companies
- By: IE Staff
- June 11, 2007 June 11, 2007
- 12:10
NYSE Regulation fines Hilliard Lyons US$1 million for sale of unregistered securities
Customer restitution exceeds US$3.5 million
- By: James Langton
- June 11, 2007 June 11, 2007
- 08:45
UK regulator publishes feedback on private equity risks
Market abuse and conflicts of interest will remain key areas of regulatory focus, FSA says
- By: IE Staff
- June 11, 2007 June 11, 2007
- 08:10
CSA streamlines insider reporting exemption requirements
Changes include revised guidance relating to recommended record-keeping practices
- By: James Langton
- June 8, 2007 June 8, 2007
- 14:50