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
Latest news in From the Regulators
SEC settles with two Putnam managers
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
B.C. company president admits to not reporting offshore securities transactions
Townsend agrees to pay BCSC $41,250
- By: IE Staff
- June 1, 2007 June 1, 2007
- 12:10
New investment business rules mark significant move to principles-based regulation in UK
FSA releases policy statement on Conduct of Business rules
- By: James Langton
- May 31, 2007 May 31, 2007
- 08:50
Barclays pays US$10.9 million to settle charges of insider trading
Former head trader pays US$750,000
- By: James Langton
- May 30, 2007 May 30, 2007
- 16:10
CSA extends comment deadline for passport rule
Submissions due June 8
- By: James Langton
- May 30, 2007 May 30, 2007
- 15:50
OSFI outlines principles for assessing credibility of corporate officers and directors
Regulator seeks comments on draft guideline
- By: James Langton
- May 30, 2007 May 30, 2007
- 15:20
CSA announces Financial Fitness Challenge winners
Contestants prove savings and investment knowledge online
- By: IE Staff
- May 30, 2007 May 30, 2007
- 11:10
SEC to host roundtable discussion on trailer fees
Uses of 12b-1 fees have strayed from original purposes, Cox says
- By: James Langton
- May 29, 2007 May 29, 2007
- 12:50
NASD fines HSBC Brokerage for failure to supervise
Firm routed orders for government securities transactions internally for over a year without adequate controls in place
- By: IE Staff
- May 29, 2007 May 29, 2007
- 10:10
IDA imposes $15,000 fine, three-month suspension on compliance officer
Thomas Edward McLellan knowingly permitted an approved person who was not registered to serve the roles of an advisor
- By: IE Staff
- May 28, 2007 May 28, 2007
- 15:59
Saskatchewan Securities Act amendments to come into force on July 1
The bill will implement the passport regulatory system and introduce civil liability for secondary market disclosure, among others
- By: James Langton
- May 28, 2007 May 28, 2007
- 15:18
MFDA hearing panel makes findings against John Quigley
Quigley banned permanently, fined $290,000
- By: IE Staff
- May 28, 2007 May 28, 2007
- 14:18
Securities regulators launch XBRL voluntary filing program
Technology aims to help investors analyze financial information
- By: IE Staff
- May 28, 2007 May 28, 2007
- 10:17
Regulators outline Passport model for Bay Street dealers
Proposed rule is expected to be finalized by the end of 2007 and implemented in stages starting in early 2008
- By: IE Staff
- May 28, 2007 May 28, 2007
- 08:50
IDA to host Web cast on divorce and account matters
The event has been designed to assist firms with the task of due diligence, ensuring adherence to privacy rules and best practices considerations
- By: James Langton
- May 27, 2007 May 27, 2007
- 14:50
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
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