ASC alleges illegal trading by Calgary advisor
Hearing scheduled for September 26
- By: IE Staff
- July 31, 2007 July 31, 2007
- 14:20
Latest news in From the Regulators
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
SEC approves regulatory merger
Consolidation will result in a single self-regulatory organization
- By: James Langton
- July 27, 2007 July 27, 2007
- 08:14
TD Waterhouse cleared in margin call complaint
Ontario Superior Court says the brokerage acted within its rights in disputed margin call case
- By: James Langton
- July 26, 2007 July 26, 2007
- 15:30
ASC cracks down on Lethbridge-based businesses, salespeople
15-day interim cease trade order in affect
- By: IE Staff
- July 26, 2007 July 26, 2007
- 11:50
NBSC releases progress report on Fullsail initiative
Efforts to improve the province’s capital markets underway
- By: IE Staff
- July 26, 2007 July 26, 2007
- 09:32
SEC, OSC file insider trading charges against Canadian couple
Former MDS employee and spouse made more than US$1 million from stolen information about MDS’s impending merger with Molecular Devices
- By: IE Staff
- July 24, 2007 July 24, 2007
- 13:55
Australian regulator seeks comment on competition for market services
The Australian Securities and Investments Commission has released a consultation paper on the prospect of introducing competition in trading of listed securities and market data.The…
- By: James Langton
- July 24, 2007 July 24, 2007
- 11:25
NYSE Regulation fines Citigroup Global Markets for improper market timing of mutual funds by brokers
Payment of US$50 million includes US$40 million in customer compensation
- By: James Langton
- July 24, 2007 July 24, 2007
- 10:45
Foreign notes program not subject to Bank Act, OSFI rules
Foreign banks selling their debt to Canadian securities dealers are not carrying on business in Canada, regulators says
- By: James Langton
- July 22, 2007 July 22, 2007
- 15:35
CSA concerned about disclosure in linked note prospectuses
Notice provides guidance to issuers
- By: James Langton
- July 22, 2007 July 22, 2007
- 14:45
OSC approves change to MFDA hearing by-law
Proposal allows a panel to consist of two members if an industry representative is unable to continue serving on the panel
- By: James Bagnall
- July 22, 2007 July 22, 2007
- 14:35
Banks no longer need OSFI approval to process data outside of Canada
Regulator expects institutions to ensure processing is in compliance with guidelines dealing with outsourcing
- By: James Langton
- July 20, 2007 July 20, 2007
- 09:40
IDA fines Montreal man $30,000
Regulator places Brunetta under supervision for six months
- By: IE Staff
- July 19, 2007 July 19, 2007
- 11:45