IDA permanently bans Calgary woman
Blaker forged client signatures
- By: IE Staff
- May 11, 2007 May 11, 2007
- 13:35
Latest news in From the Regulators
ASC finds Atlas Communications engaged in an illegal distribution of securities
Edmonton man made misrepresentations to investors
- By: IE Staff
- May 11, 2007 May 11, 2007
- 13:10
SEC charges two securities professionals with insider trading
Pair misused material non-public information from Morgan Stanley
- By: IE Staff
- May 10, 2007 May 10, 2007
- 15:45
UK regulator fines BNPP Private Bank
First time a private bank has been fined for weaknesses in its anti-fraud systems
- By: James Langton
- May 10, 2007 May 10, 2007
- 10:10
Fund dealer refuses OBSI recommendation
Financial Architects won’t honour recommendation for client compensation
- By: IE Staff
- May 10, 2007 May 10, 2007
- 09:45
Insider trading alleged in shares
of Dow Jones
SEC sues Hong Kong pair over purchases
- By: James Langton
- May 9, 2007 May 9, 2007
- 15:30
IDA panel dismisses appeal by Jory Capital, Cooney
“Fresh evidence” confirms hearing panel’s conclusion
- By: IE Staff
- May 9, 2007 May 9, 2007
- 15:15
RBC Dain Rausher disciplined for anti-money laundering program deficiencies
NYSE Regulation imposes US$90,000 fine
- By: James Langton
- May 9, 2007 May 9, 2007
- 14:55
IDA withdraws allegations against Lin
Decision based on reassessment of the case
- By: IE Staff
- May 9, 2007 May 9, 2007
- 14:25
Morgan Stanley to pay US$7.9 million to settle best execution case with SEC
The U.S. Securities and Exchange Commission settled fraud charges against Morgan Stanley & Co. Inc. for its failure to provide best execution to certain retail…
- By: IE Staff
- May 9, 2007 May 9, 2007
- 13:20
NASD fines two Fidelity broker dealers US$400,000
The National Association of Securities Dealers today announced that it has fined two Fidelity broker-dealers US$400,000 for preparing and distributing misleading sales literature promoting their…
- By: James Langton
- May 8, 2007 May 8, 2007
- 16:10
SFSC issues cease trade on Belize firm
Regulator warns about investment schemes
- By: James Langton
- May 8, 2007 May 8, 2007
- 15:30
Regulators join forces to warn investors foreign currency trading frauds
The Commodity Futures Trading Commission and the North American Securities Administrators Association issued a joint investor alert to warn of the dangers facing retail investors…
- By: James Langton
- May 8, 2007 May 8, 2007
- 10:35
UK regulator announces progress made on customer fairness iniative
FSA sets further deadline of December 2008
- By: IE Staff
- May 8, 2007 May 8, 2007
- 09:35
Court upholds OSC decision in Ochnik case
Reasonable for regulator to conclude that Ochnik engaged in an RRSP/loan scheme and traded while unregistered and without a prospectus
- By: James Langton
- May 7, 2007 May 7, 2007
- 15:10
SEC settles administrative proceeding Against Zurich Capital Markets
Firm to pay US$16.8 million for financing of hedge funds’ illegal market timing
- By: James Langton
- May 7, 2007 May 7, 2007
- 10:45
IDA releases due diligence guide on principal-protected notes
The Investment Dealers Association of Canada (IDA) today released “Due Diligence Guide on Principal-protected Notes”. The Ggide will assist investment dealers in meeting their know-your-product…
- By: IE Staff
- May 7, 2007 May 7, 2007
- 09:25
SEC and partners to present investor protection symposium in Chicago
The May 18 event will focus on issues facing seniors as they prepare for, and enjoy, their retirement
- By: James Langton
- May 6, 2007 May 6, 2007
- 15:15
SEC charges banker with tipping
Credit Suisse banker illegally gave non-public information to a person believed to be a Pakistani banker
- By: James Langton
- May 4, 2007 May 4, 2007
- 11:03
OSC to commence new proceedings against Andrew Rankin
Rankin was charged with 10 counts of tipping and 10 counts of illegal trading
- By: James Langton
- May 3, 2007 May 3, 2007
- 15:00
OSFI effective, but needs improvement
Report reveals that OSFI needs to improve its ability to deal with emerging actuarial issues among others
- By: James Langton
- May 3, 2007 May 3, 2007
- 11:25
SIFMA in favour of moving to principles-based regulation
Focusing on outcomes rather than processes is the best way to ensure that regulation works, it says
- By: James Langton
- May 3, 2007 May 3, 2007
- 10:55
Firm fined for providing investment advice without being registered
The New Brunswick Securities Commission has ordered Baskin Financial Services Inc. to pay an administrative penalty of $35,000, $3,600 in past registration fees plus costs…
- By: James Langton
- May 3, 2007 May 3, 2007
- 09:35
IDA clarifies training program requirement for certain registered reps
Registration applicants could be exempt from the 30-day or 90-day training programs if they meet certain criteria
- By: James Langton
- May 2, 2007 May 2, 2007
- 15:25
A.G. Edwards & Sons settles with SEC
The St. Louis broker-dealer will have to pay a total of almost US$4 million for failing to supervise some registered rep
- By: James Langton
- May 2, 2007 May 2, 2007
- 14:53