SEC unveils anti-money laundering compliance tool
AML source tool designed to assist broker-dealers
- By: James Langton
- April 16, 2007 April 16, 2007
- 15:45
Latest news in From the Regulators
Manitoba regulator issues warning of suspicious investment scheme
Scheme targets investors at free seminars
- By: James Langton
- April 16, 2007 April 16, 2007
- 15:40
NASD reminds investors to consider global market risk when investing
Alert outlines various types of market risk
- By: James Langton
- April 16, 2007 April 16, 2007
- 10:20
No evidence of excessive failed trades on Canadian marketplaces: study
RS considering several recommendations regarding short sale and failed trade regulation in Canada
- By: James Langton
- April 15, 2007 April 15, 2007
- 16:20
IOSCO 2010 meeting planned for Montreal
Richard stepping down as Secretary General
- By: James Langton
- April 12, 2007 April 12, 2007
- 10:15
International securities regulators wrap up conference in India
Number of signatories to the IOSCO MOU continues to steadily increase
- By: IE Staff
- April 12, 2007 April 12, 2007
- 09:10
Canaccord to face IDA disciplinary hearing
Brokerage permitted improper trading in house account, regulator alleges
- By: IE Staff
- April 12, 2007 April 12, 2007
- 07:35
NASD sanctions former Knight Securities executives
Former CEO fined, suspended in for supervisory violations in connection with fraudulent sales
- By: James Langton
- April 11, 2007 April 11, 2007
- 14:50
OSC lifts cease-trade order on Black, Hollinger insiders
Company financial filings now up to date
- By: IE Staff
- April 11, 2007 April 11, 2007
- 07:20
NASD warns investors of risks associated with using margin to purchase securities
The National Association of Securities Dealers today issued an updated Investor Alert warning investors about the risks associated with trading on margin. The regulator reports…
- By: James Langton
- April 10, 2007 April 10, 2007
- 13:40
U.S. SEC receives proposals for allocating trading symbols
One would limit the use of one-, two- and three-character symbols to those listing markets that traditionally used those symbols
- By: James Langton
- April 8, 2007 April 8, 2007
- 15:00
OSC launches new publication
<i>The Practitioner</i> will provide an overview of recent issues that have arisen in the investment funds area
- By: James Langton
- April 5, 2007 April 5, 2007
- 16:45
OSC discusses federal budget proposals
Most significant proposed amendment deals with take-over bids
- By: James Langton
- April 5, 2007 April 5, 2007
- 13:37
U.S. SEC endorses SOX compliance recommendations
Changes would eliminate waste and duplication in compliance
- By: James Langton
- April 4, 2007 April 4, 2007
- 15:56
AMF fines insiders for failing to report trades
Martial Rolland and Robert Jones failed to report any changes in their control over the securities of an issuer within 10 days of the event
- By: James Langton
- April 3, 2007 April 3, 2007
- 10:26
FSCO publishes priorities for 2007
FSCO plans to harmonize point-of-sale disclosure for segregated and mutual funds, among others
- By: James Langton
- April 2, 2007 April 2, 2007
- 12:15
CSA sponsors online investment contest for youth
Contest aims to make smart money management “cool” for an increasingly Web-savvy generation
- By: IE Staff
- April 2, 2007 April 2, 2007
- 09:50
CSA publishes FAQ on IRCs
Some have raised questions regarding the rule’s application and interpretation
- By: James Langton
- April 1, 2007 April 1, 2007
- 15:52
Total of OSC’s top salaries surpasses $27.6 milllion in 2006
This is up from combined earnings of $23.4 million in 2005 for those with a salary of $100,000 or more
- By: James Langton
- April 1, 2007 April 1, 2007
- 15:43
CSA seek comment on proposed changes to internal control reporting requirements
Proposals introduce new requirement for CEO and CFO to certify that they have evaluated the effectiveness of their internal control over financial reporting
- By: James Langton
- March 30, 2007 March 30, 2007
- 10:47
CSA proposes executive compensation disclosure reforms
Proposal will require companies to clearly define compensation policies and objectives and provide compensation for each executive and director
- By: James Langton
- March 29, 2007 March 29, 2007
- 10:22
IDA fines Vancouver broker $60,000, imposes two year suspension
Advisor effected transactions in client accounts without prior written authorization
- By: IE Staff
- March 29, 2007 March 29, 2007
- 10:15
Report calls for principles-based approach to derivatives regulation
The report will be referred to a legislative committee that will review it, hear the opinions of interested parties and report back.
- By: James Langton
- March 28, 2007 March 28, 2007
- 15:33
Ontario won’t participate in phase 2 of passport system
But the Council of Ministers of Securities Regulation notes that there's a standing invitation for the holdout province to join
- By: James Langton
- March 28, 2007 March 28, 2007
- 14:49