New SEC alerts designed to firms improve compliance programs
Sharing of examination findings can help compliance officers proactively fine-tune supervisory controls, regulator says
- By: James Langton
- June 15, 2007 June 15, 2007
- 15:50
Latest news in From the Regulators
SEC distributions to WorldCom fraud victims top US$500 million
Remaining US$250 million expected to be distributed later this year
- By: James Langton
- June 15, 2007 June 15, 2007
- 14:50
OSFI unveils new principles-based solvency financial requirements for life insurers
Proposed regime intended to encourage the use of improved risk-based business decisions
- By: James Langton
- June 15, 2007 June 15, 2007
- 13:30
Calgary man ordered to pay $175,000 for market manipulation
The Alberta Securities Commission (ASC) has ordered a five-year market ban (with exceptions), payment of a $50,000 administrative penalty and $125,000 in costs by James…
- By: IE Staff
- June 15, 2007 June 15, 2007
- 11:25
SEC moves to close loopholes in short-selling rule
Amendments will further reduce fails to deliver in certain equity securities, regulator says
- By: James Langton
- June 14, 2007 June 14, 2007
- 10:10
B.C. man receives lifetime trading ban for operating investment scheme
The British Columbia Securities Commission has permanently banned a B.C. man from trading securities after he admitted to raising nearly $2.4 million through an investment…
- By: IE Staff
- June 14, 2007 June 14, 2007
- 09:10
Contracts-for-Difference likely coming to Canada, IDA says
High leverage products can generate large profits or losses
- By: James Langton
- June 13, 2007 June 13, 2007
- 15:20
MFDA disciplines two prairie fund salesmen
Freynet fined $10,000; Jacobson fined $15,000
- By: IE Staff
- June 12, 2007 June 12, 2007
- 14:50
IDA fines Nova Scotia rep $20,000
Kentville man conducted discretionary trades in non-approved accounts
- By: IE Staff
- June 12, 2007 June 12, 2007
- 11:20
IDA fines Octagon Capital $50,000
Dealer failed to perform necessary due diligence, panel finds
- By: IE Staff
- June 11, 2007 June 11, 2007
- 13:55
BCSC overturns TSX-V decision to disqualify Nichols
Man with criminal convictions should not be disqualified from performing investor relations activities for listed companies
- By: IE Staff
- June 11, 2007 June 11, 2007
- 12:10
NYSE Regulation fines Hilliard Lyons US$1 million for sale of unregistered securities
Customer restitution exceeds US$3.5 million
- By: James Langton
- June 11, 2007 June 11, 2007
- 08:45
UK regulator publishes feedback on private equity risks
Market abuse and conflicts of interest will remain key areas of regulatory focus, FSA says
- By: IE Staff
- June 11, 2007 June 11, 2007
- 08:10
CSA streamlines insider reporting exemption requirements
Changes include revised guidance relating to recommended record-keeping practices
- By: James Langton
- June 8, 2007 June 8, 2007
- 14:50
MFDA consolidates reporting requirements
OSC approves proposal
- By: James Langton
- June 8, 2007 June 8, 2007
- 14:36
OSC approves TSX ATX matching facility
Regultor OKs amendments to TSX rules
- By: James Langton
- June 8, 2007 June 8, 2007
- 14:30
New Rankin trial slated, OSC says
Trial scheduled for February 2008
- By: IE Staff
- June 7, 2007 June 7, 2007
- 15:40
NASD fines Citigroup US$3 million
Orders US$12.2 million in restitution to over 200 customers
- By: IE Staff
- June 6, 2007 June 6, 2007
- 15:45
Court mulls restitution order for Ontario Securities Commission
First case where the application by the OSC is for compensation in favour of a third party other than the security holders who were complainants
- By: James Langton
- June 6, 2007 June 6, 2007
- 14:55
BCSC issues reciprocal enforcement orders against two Ontario men
Pair previously sanctioned by OSC and ASC
- By: IE Staff
- June 6, 2007 June 6, 2007
- 08:15
Corporate governance of private equity firms and hedge funds are best addressed within current framework, OECD says
Corporate governance of private equity firms and hedge funds are best addressed within current framework, OECD says
- By: James Langton
- June 5, 2007 June 5, 2007
- 08:50
SEC settles with two Putnam managers
Pair must each pay US$400,000 penatly
- By: IE Staff
- June 4, 2007 June 4, 2007
- 15:10
MFDA issues reminder on nominee name assets
Notice outlines capital provisions for unresolved differences in nominee name assets
- By: James Langton
- June 4, 2007 June 4, 2007
- 13:20
Manitoba Securities Commission recognizes MFDA as SRO
But decision may be changed depending on the comments the MSC receives
- By: IE Staff
- June 3, 2007 June 3, 2007
- 14:19
CSA to reveal proposed amendments to disclosure rules
Proposed amendments aim to modify requirements regarding the calculation of NAV to reflect new accounting rules and to clarify or correct certain provisions
- By: James Langton
- June 1, 2007 June 1, 2007
- 13:47