Bank of Canada welcomes industry effort to support asset-backed commercial paper market
Central bank calls commitment “helpful”
- By: James Langton
- August 16, 2007 August 16, 2007
- 15:45
Latest news in From the Regulators
Finance officials monitoring TSX selloff, Flaherty says
With the S&P/TSX composite index down about 570 points at midday, Jim Flaherty, Minister of Finance, made a statement intended to assuage investors.“As I have…
- By: James Langton
- August 16, 2007 August 16, 2007
- 13:10
IDA fines Peak Securities $30,000
Firm did not incur any financial risk as a result of short-term capital deficiency
- By: IE Staff
- August 15, 2007 August 15, 2007
- 14:40
NBSC issues permanent cease-trade order Meisner Inc. S.A.
The New Brunswick Securities Commission has issued a permanent cease-trade order against Meisner Inc. S.A, Meisner Corporation, Meisner Incorporated, Jorge Vizcarra and George Dizcarra. The…
- By: IE Staff
- August 15, 2007 August 15, 2007
- 13:10
N.B. regulator approves MFDA as SRO
NBSC to take another look at personal corporations rule
- By: James Langton
- August 15, 2007 August 15, 2007
- 07:40
IDA disciplines former Edward Jones rep
Richmond B.C. broker fined $45,000 and handed six week suspension
- August 14, 2007 August 14, 2007
- 14:20
NYSE Regulation fines brokerage US$2.5 million for stock loan violations
Janney Montgomery Scott engaged in away-from-market stock loan transactions
- By: IE Staff
- August 14, 2007 August 14, 2007
- 12:10
MX releases reasons for decision to discipline Canaccord rep
Beaudoin fined $35,000
- By: IE Staff
- August 14, 2007 August 14, 2007
- 11:40
Financial markets returning to normal, ECB head says
Trichet calls all parties to keep their composure
- By: James Langton
- August 14, 2007 August 14, 2007
- 09:40
MFDA seeking members for policy committee
Deadline for applications is September 28
- By: James Langton
- August 13, 2007 August 13, 2007
- 16:10
Saskatchewan regulator lifts prohibition on commingling of funds
Exemption subject to conditions
- By: James Langton
- August 13, 2007 August 13, 2007
- 15:50
CSA sets out collaboration framework for Financial Services OmbudsNetwork
Memo outlines architecture for ongoing relationships among regulators and the OmbudServices
- By: James Langton
- August 13, 2007 August 13, 2007
- 10:55
Regulators approve subsidies for educational conferences
CIFPs firms permitted to pay a portion of direct costs incurred in organizing and presenting annual national conference
- By: James Langton
- August 13, 2007 August 13, 2007
- 10:20
BCSC to hold hearing into alleged illegal distribution of Bright Star securities
Company director failed to file insider reports
- By: IE Staff
- August 13, 2007 August 13, 2007
- 07:55
Fed approves Scotiabank investment in Puerto Rican bank
Scotia clear to acquire 10% of voting shares of First BanCorp.
- By: IE Staff
- August 9, 2007 August 9, 2007
- 12:50
Bank of Canada reassures market participants
Central bank says if will provide liquidity to preserve market stability
- By: James Langton
- August 9, 2007 August 9, 2007
- 12:10
Saxon Financial reports record second quarter results
Third dividend increase in two years
- By: IE Staff
- August 9, 2007 August 9, 2007
- 09:30
NYSE fines four firms for supervisory violations
Fines total US$710,000
- By: James Langton
- August 9, 2007 August 9, 2007
- 07:40
MFDA issues update on anti-money laundering reporting rules
Summary of changes posted to FINTRAC Web site
- By: James Langton
- August 8, 2007 August 8, 2007
- 15:50
Investment fraud suspect found after 5-month search
Ontario broker alleged to have invested client GIC funds in the stock market
- By: IE Staff
- August 8, 2007 August 8, 2007
- 09:35
IDA fines Doering $12,500
Mississauga rep traded in off book private placements
- By: IE Staff
- August 7, 2007 August 7, 2007
- 14:55
SEC charges UK trader with illegal insider trading
Suterwalla made over US$3 million in illicit profits trading in Petco Animal Supplies
- By: James Langton
- August 7, 2007 August 7, 2007
- 10:30
ASC prohibits firms from trading in securities
Saxon Consultants, Merchant Capital Markets and Meisner Corp.
- By: IE Staff
- August 6, 2007 August 6, 2007
- 12:10
CFTC examine trading on regulated exchanges and exempt commercial markets
Hearing scheduled for September
- By: James Langton
- August 3, 2007 August 3, 2007
- 07:55
FINRA Fines Morgan Stanley US$1.5 million
The U.S. Financial Industry Regulatory Authority today announced that it has fined Morgan Stanley DW Inc. (now known as Morgan Stanley & Co. Inc.) US$1.5…
- By: James Langton
- August 2, 2007 August 2, 2007
- 15:10