RS follows SEC on price restrictions on short sales
Grants exemption from restrictions for securities that are also listed on U.S. exchanges
- By: James Langton
- July 8, 2007 July 8, 2007
- 15:20
Latest news in From the Regulators
Working group to look at institutional trade matching and settlement
Industry group to representatives of from sell-side and buy-side
- By: James Langton
- July 6, 2007 July 6, 2007
- 15:10
CCIR questionnaire to assess practices of insurance agents in managing conflicts of interest
Agents required to complete the questionnaire by July 27
- By: James Langton
- July 6, 2007 July 6, 2007
- 14:35
IDA fines Canaccord Capital $80,000 for failing to supervise pro account
Regulator questions fairness of trading strategy
- By: IE Staff
- July 6, 2007 July 6, 2007
- 12:35
Court sides with AMF
Court upholds regulator’s decision to order Assumption to cease doing business through unregistered dealers
- By: James Langton
- July 5, 2007 July 5, 2007
- 15:55
B.C. resident banned from trading securities for 12 years
Rempel illegally sold $1.2 million in securities to local investors
- By: IE Staff
- July 5, 2007 July 5, 2007
- 12:45
IDA fines Prince George broker $138,212
Regulator imposes two-year suspension
- By: IE Staff
- July 5, 2007 July 5, 2007
- 12:30
ASC concludes settlement with Edmonton man
Starr fined $18,000 for illegal distribution of securities
- By: IE Staff
- July 5, 2007 July 5, 2007
- 09:20
IDA finds Mizra guilty of being uncooperative
Investigation held up for eight months due to dissent
- By: IE Staff
- July 4, 2007 July 4, 2007
- 14:46
Finance unveils tax law amendments
New regulations will make the tax system more efficient
- By: James Langton
- July 4, 2007 July 4, 2007
- 11:32
Edmonton man settles with ASC
Businessman admits to market manipulation
- By: IE Staff
- July 4, 2007 July 4, 2007
- 10:59
FSCO releases its statement of priorities
Plans include reviewing the regulatory framework
- By: James Langton
- July 3, 2007 July 3, 2007
- 15:03
FSCO announces new legislation
Mortgage brokers and agents will be able to apply in anticipation of the new act
- By: James Langton
- July 3, 2007 July 3, 2007
- 14:57
SEC considers change to financial filing requirements
Changes will affect foreign private firms using IFRS
- By: James Langton
- July 3, 2007 July 3, 2007
- 13:16
Review of corporate governance disclosure practices finds deficiencies
Disclosure of compensation practices is particularly weak: report
- By: James Langton
- July 2, 2007 July 2, 2007
- 14:55
Independent audit committees leave room for improvement: report
Regulators review audit committee composition and responsibilities
- By: James Langton
- June 29, 2007 June 29, 2007
- 15:30
OSC revises priority statement
Regulator clarifies intention to examine alternative securities regulatory approaches to specifically include principles-based regulation
- By: James Langton
- June 29, 2007 June 29, 2007
- 14:35
IDA enhances governance structure
Amendments approved by OSC
- By: James Langton
- June 29, 2007 June 29, 2007
- 14:30
BCSC orders Vancouver woman out of exempt product market
A British Columbia Securities Commission panel have imposed sanctions against a former Vancouver-based securities salesperson who failed to ensure that certain speculative and illiquid investments…
- By: IE Staff
- June 29, 2007 June 29, 2007
- 13:40
SEC announces positive early results of Penny Quoting Pilot Program
The U.S. Securities and Exchange Commission today announced that early results from the Penny Quoting Pilot program show lowered trading costs for retail trades. An…
- By: James Langton
- June 29, 2007 June 29, 2007
- 13:14
OSFI unit needs improvement: report
Financial Institutions Group – Deposit Taking Institutions challenged by risk focused supervisory methodology
- By: IE Staff
- June 29, 2007 June 29, 2007
- 09:35
OSFI approves limited issuance of covered bonds
Bonds provide benefits, but raise concerns, regulator says
- By: James Langton
- June 28, 2007 June 28, 2007
- 13:25
NASD settles cases against four firms for failures relating to mutual fund sales
Firms fined over US$1.2 million
- By: IE Staff
- June 28, 2007 June 28, 2007
- 12:40
Proposed bill would allow U.S. exchanges to establish developmental tiers
Measure intended to reverse trend of overseas exchanges recruiting U.S. IPOs
- By: James Langton
- June 28, 2007 June 28, 2007
- 12:40