IDA imposes $50,000 fine on the Jitney Group Inc.
Firm failed to maintain risk adjusted capital at a level greater than zero
- By: IE Staff
- May 25, 2007 May 25, 2007
- 10:58
Latest news in From the Regulators
MFDA hearing panel approves settlement agreement with IQON
IQON must pay a fine and $100,000 and costs of $7,500
- By: IE Staff
- May 25, 2007 May 25, 2007
- 10:53
MFDA issues warning on exempt securities
Notice outlines conflict of interest concerns
- By: James Langton
- May 24, 2007 May 24, 2007
- 15:50
SEC to host roundtable discussion regarding mutual recognition
Recognition would involve the SEC permitting certain types of foreign financial intermediaries to provide services to U.S. investors
- By: James Langton
- May 24, 2007 May 24, 2007
- 15:30
SEC proposes modernization of smaller company capital raising and disclosure requirements
Six measures address advisory committee recommendations
- By: James Langton
- May 24, 2007 May 24, 2007
- 09:35
SEC approves new guidance for compliance with Section 404 of SOX
Guidance is intended to help public companies strengthen their internal control over financial reporting while reducing unnecessary costs
- By: James Langton
- May 24, 2007 May 24, 2007
- 09:25
SEC settles charges against BISYS Group
BISYS agrees to pay US$25 million in disgorgement and prejudgment interest although it neither denies or admits the SEC’s allegations
- By: James Langton
- May 23, 2007 May 23, 2007
- 11:13
U.S. commodities trader given 12-month prison term
Former head of American trading at Citibank Commodities sentenced for inflating trading profits by US$20 million
- By: James Langton
- May 22, 2007 May 22, 2007
- 13:55
Nortel to pay $1 million in OSC settlement
Money to pay for investigations costs
- By: IE Staff
- May 22, 2007 May 22, 2007
- 13:50
BCSC steps into fight against stock spam
New program halts trading of companies that are the subject of a stock spam campaign
- By: IE Staff
- May 18, 2007 May 18, 2007
- 10:30
NASAA outlines concerns about merger of U.S. securities industry SROs
Needs of investors must come first, NASAA president says
- By: IE Staff
- May 18, 2007 May 18, 2007
- 09:30
CIPF invites claims from Graydon Elliott customers
Notice follows suspension of firm by IDA
- By: James Langton
- May 18, 2007 May 18, 2007
- 07:50
OSC reaches new settlement with Melnyk
Hearing to review agreement
- By: IE Staff
- May 18, 2007 May 18, 2007
- 07:45
Single SRO should adopt principles-based rulebook for regulation, SIFMA says
SIFMA testifies in a hearing to examine consolidation of NASD and regulatory functions of NYSE
- By: James Langton
- May 17, 2007 May 17, 2007
- 15:40
IOSCO unveils final program for Roundtable on the Quality of Public Company Audits
Program to be held in Paris
- By: James Langton
- May 17, 2007 May 17, 2007
- 15:35
BCSC rules IDA has jurisdiction over former members
Section 26 of the B.C. Securities Act does not limit SRO’s authority
- By: IE Staff
- May 17, 2007 May 17, 2007
- 10:23
Nortel reaches deal with OSC
Panel to consider agreement on May 22
- By: IE Staff
- May 17, 2007 May 17, 2007
- 07:55
SEC lays charges in multi-million dollar scheme to defraud savings banks in stock offerings
All four defendants agree to settle SEC charges
- By: James Langton
- May 16, 2007 May 16, 2007
- 14:10
B.C. broker admits misconduct
Johnson allowed trades by prohibited individual
- By: IE Staff
- May 16, 2007 May 16, 2007
- 12:50
RCMP creates teams to stamp out counterfeit banknotes
New unit to pursue organized crime
- By: IE Staff
- May 14, 2007 May 14, 2007
- 15:45
No compensation for investors who bought mutual funds on margin
Supreme court denies appeal
- By: James Langton
- May 14, 2007 May 14, 2007
- 13:30
Chief Actuary seeks external peer review panel for report on CPP
Previous review generated a number of valuable recommendations
- By: James Langton
- May 14, 2007 May 14, 2007
- 11:55
Conservatives restore interest tax deductibility on foreign investments
Companies given transition period of almost five years to comply
- By: IE Staff
- May 14, 2007 May 14, 2007
- 08:50
OSC proposes new slate of procedural rules
Rules intended to provide clear guidance to all participants in commission proceedings
- By: James Langton
- May 13, 2007 May 13, 2007
- 14:10