MFDA consolidates reporting requirements
OSC approves proposal
- By: James Langton
- June 8, 2007 June 8, 2007
- 14:36
Latest news in From the Regulators
OSC approves TSX ATX matching facility
Regultor OKs amendments to TSX rules
- By: James Langton
- June 8, 2007 June 8, 2007
- 14:30
New Rankin trial slated, OSC says
Trial scheduled for February 2008
- By: IE Staff
- June 7, 2007 June 7, 2007
- 15:40
NASD fines Citigroup US$3 million
Orders US$12.2 million in restitution to over 200 customers
- By: IE Staff
- June 6, 2007 June 6, 2007
- 15:45
Court mulls restitution order for Ontario Securities Commission
First case where the application by the OSC is for compensation in favour of a third party other than the security holders who were complainants
- By: James Langton
- June 6, 2007 June 6, 2007
- 14:55
BCSC issues reciprocal enforcement orders against two Ontario men
Pair previously sanctioned by OSC and ASC
- By: IE Staff
- June 6, 2007 June 6, 2007
- 08:15
Corporate governance of private equity firms and hedge funds are best addressed within current framework, OECD says
Corporate governance of private equity firms and hedge funds are best addressed within current framework, OECD says
- By: James Langton
- June 5, 2007 June 5, 2007
- 08:50
SEC settles with two Putnam managers
Pair must each pay US$400,000 penatly
- By: IE Staff
- June 4, 2007 June 4, 2007
- 15:10
MFDA issues reminder on nominee name assets
Notice outlines capital provisions for unresolved differences in nominee name assets
- By: James Langton
- June 4, 2007 June 4, 2007
- 13:20
Manitoba Securities Commission recognizes MFDA as SRO
But decision may be changed depending on the comments the MSC receives
- By: IE Staff
- June 3, 2007 June 3, 2007
- 14:19
CSA to reveal proposed amendments to disclosure rules
Proposed amendments aim to modify requirements regarding the calculation of NAV to reflect new accounting rules and to clarify or correct certain provisions
- By: James Langton
- June 1, 2007 June 1, 2007
- 13:47
B.C. company president admits to not reporting offshore securities transactions
Townsend agrees to pay BCSC $41,250
- By: IE Staff
- June 1, 2007 June 1, 2007
- 12:10
New investment business rules mark significant move to principles-based regulation in UK
FSA releases policy statement on Conduct of Business rules
- By: James Langton
- May 31, 2007 May 31, 2007
- 08:50
Barclays pays US$10.9 million to settle charges of insider trading
Former head trader pays US$750,000
- By: James Langton
- May 30, 2007 May 30, 2007
- 16:10
CSA extends comment deadline for passport rule
Submissions due June 8
- By: James Langton
- May 30, 2007 May 30, 2007
- 15:50
OSFI outlines principles for assessing credibility of corporate officers and directors
Regulator seeks comments on draft guideline
- By: James Langton
- May 30, 2007 May 30, 2007
- 15:20
CSA announces Financial Fitness Challenge winners
Contestants prove savings and investment knowledge online
- By: IE Staff
- May 30, 2007 May 30, 2007
- 11:10
SEC to host roundtable discussion on trailer fees
Uses of 12b-1 fees have strayed from original purposes, Cox says
- By: James Langton
- May 29, 2007 May 29, 2007
- 12:50
NASD fines HSBC Brokerage for failure to supervise
Firm routed orders for government securities transactions internally for over a year without adequate controls in place
- By: IE Staff
- May 29, 2007 May 29, 2007
- 10:10
IDA imposes $15,000 fine, three-month suspension on compliance officer
Thomas Edward McLellan knowingly permitted an approved person who was not registered to serve the roles of an advisor
- By: IE Staff
- May 28, 2007 May 28, 2007
- 15:59
Saskatchewan Securities Act amendments to come into force on July 1
The bill will implement the passport regulatory system and introduce civil liability for secondary market disclosure, among others
- By: James Langton
- May 28, 2007 May 28, 2007
- 15:18
MFDA hearing panel makes findings against John Quigley
Quigley banned permanently, fined $290,000
- By: IE Staff
- May 28, 2007 May 28, 2007
- 14:18
Securities regulators launch XBRL voluntary filing program
Technology aims to help investors analyze financial information
- By: IE Staff
- May 28, 2007 May 28, 2007
- 10:17
Regulators outline Passport model for Bay Street dealers
Proposed rule is expected to be finalized by the end of 2007 and implemented in stages starting in early 2008
- By: IE Staff
- May 28, 2007 May 28, 2007
- 08:50
IDA to host Web cast on divorce and account matters
The event has been designed to assist firms with the task of due diligence, ensuring adherence to privacy rules and best practices considerations
- By: James Langton
- May 27, 2007 May 27, 2007
- 14:50