FSA mulls wider access for retail customers to alternative investments
Proposals would introduce retail-oriented oriented funds of alternative investment funds
- By: James Langton
- March 27, 2007 March 27, 2007
- 09:50
Latest news in From the Regulators
ASC 2006 oil and gas review now available
Report identifies common disclosure issues and explains how to meet the disclosure standards
- By: James Langton
- March 26, 2007 March 26, 2007
- 15:10
FSA publishes review of the commodities market
The UK’s Financial Services Authority published a paper, which examines the recent growth in investment in commodity markets, concluding that markets have changed significantly, creating…
- By: IE Staff
- March 26, 2007 March 26, 2007
- 11:10
Firms not filing applications for exemptive relief on a timely basis, CSA says
Late filing disrupts efficiency of regulatory review
- By: James Langton
- March 25, 2007 March 25, 2007
- 14:25
Criminal charges filed against hedge fund for deceptive market timing
Beacon Rock Capital charged, SEC reports
- By: James Langton
- March 23, 2007 March 23, 2007
- 14:40
NASAA challenges reports that “over-regulation” has harmed U.S. competitiveness
NASAA president reaffirms state investor protection role
- By: James Langton
- March 22, 2007 March 22, 2007
- 15:50
SEC settles charges with Amex, Sodano
Exchange failed to enforce compliance with securities laws
- By: James Langton
- March 22, 2007 March 22, 2007
- 15:20
Clients of introducing firms should be able to deal with firms’ carrying broker following business disruptions, IDA says
Procedure seen as a second line of defence
- By: James Langton
- March 22, 2007 March 22, 2007
- 07:30
FSA sets out reforms to funding of Compensation Scheme
Proposed reforms designed to make system more robust and sustainable
- By: James Langton
- March 21, 2007 March 21, 2007
- 10:30
FSA trumpets principles-based approach to general insurance regulation
Regulator to publish paper on possible rule changes in June
- By: James Langton
- March 21, 2007 March 21, 2007
- 09:50
CSA looking for new member for mining committee
Committee expanding to 15 members
- By: James Langton
- March 20, 2007 March 20, 2007
- 14:40
FSA fines analyst for market misconduct
Analyst offer fund managers preview of research
- By: James Langton
- March 20, 2007 March 20, 2007
- 14:30
New, improved NASD BrokerCheck goes live online
Redesigned service to provide more information for investors
- By: James Langton
- March 20, 2007 March 20, 2007
- 09:55
Lydia Diamond co-founders sentenced to jail for improperly selling shares
Judge calls duo “repeat and flagrant offenders”
- By: IE Staff
- March 20, 2007 March 20, 2007
- 07:25
NASD announces leadership moves for new, consolidated SRO
Reorganized member regulation, enforcement and dispute resolution operations
- By: James Langton
- March 18, 2007 March 18, 2007
- 14:30
Former COO of Hollinger International settles fraud charges with SEC
Radler to pay US$28.7 million
- By: IE Staff
- March 18, 2007 March 18, 2007
- 13:30
IDA permanently bans former Global Securities broker
A hearing panel of the Investment Dealers Association of Canada (IDA), has fined a Vancouver broker $100,000 failing to act as a proper gatekeeper to…
- By: IE Staff
- March 16, 2007 March 16, 2007
- 11:15
Calgary broker “willfully blind” to forgery of signatures by assistant, IDA panel finds
Assistant’s testimony more credible, panel says
- By: IE Staff
- March 14, 2007 March 14, 2007
- 19:15
SEC fines Banc of America Securities US$26 million
Firm failed to safeguard nonpublic research information and published fraudulent research, regulator says
- By: James Langton
- March 14, 2007 March 14, 2007
- 13:10
Goldman Sachs settles with SEC, NYSE for role in illegal trading scheme
Firm to pay US$2 million in civil penalties and fines
- By: James Langton
- March 14, 2007 March 14, 2007
- 12:55
FSA supports IOSCO principles for the valuation of hedge fund portfolios
Proposed controls mitigate conflicts of interest in valuation process
- By: James Langton
- March 14, 2007 March 14, 2007
- 12:45
IOSCO releases principles for the valuation of hedge fund portfolios
Regulators seek comment
- By: James Langton
- March 13, 2007 March 13, 2007
- 15:40
SFSC issues temporary cease trade orders against three firms
Arial Trading, Meridian Investment Group, and Hartford Capital Management
- By: James Langton
- March 13, 2007 March 13, 2007
- 14:10
AMF renews freeze order against Groupe financier Fides and Fiducie Fides
The Autorité des marchés financiers reports that the Bureau de décision et de révision en valeurs mobilières has renewed an initial freeze order on the…
- By: IE Staff
- March 13, 2007 March 13, 2007
- 11:40
Saskatchewan regulator issues warning on investment seminars
Offshore funds difficult for investors to reclaims, SFSC says
- By: James Langton
- March 13, 2007 March 13, 2007
- 11:15