B.C. man admits to unregistered trading
Fortune Capital owner fined $50,000
- By: IE Staff
- March 13, 2007 March 13, 2007
- 10:25
Latest news in From the Regulators
SEC charges four former Nortel officers in wide-ranging fraud scheme
Misconduct gave rise to billions of dollars in shareholder losses, regulator says
- By: IE Staff
- March 12, 2007 March 12, 2007
- 14:25
OSC schedules disciplinary meeting for three former Nortel execs
Hearing set for May 1
- By: James Langton
- March 12, 2007 March 12, 2007
- 12:45
SEC and U.S. Attorney charge three offshore hackers with hijacking online brokerage accounts
Indian Internet intruders charged with making unauthorized purchases to pump up markets for 14 securities
- By: James Langton
- March 12, 2007 March 12, 2007
- 12:40
OSC delivers proposed amendment to proficiency requirements rule
Commission also proposes another new amendment to the rule
- By: James Langton
- March 11, 2007 March 11, 2007
- 15:16
AMF issues warning
Quebec regulator recommends utmost caution with respect to any contact from a person promoting investments in Universal Networks
- By: James Langton
- March 11, 2007 March 11, 2007
- 15:07
IOSCO seeks international financial services community’s comments
Dialogue essential to establishing principles and standards to the challenges of an ever-evolving market
- By: James Langton
- March 9, 2007 March 9, 2007
- 16:01
CSA recognizes professional boards
Acceptance of the professional organizations not contrary to public interest
- By: James Langton
- March 9, 2007 March 9, 2007
- 15:54
NYSE fines two firms
Swiss American Securities fined $100,000; UBS Securities fined $95,000
- By: James Langton
- March 8, 2007 March 8, 2007
- 16:09
Quebec regulator issues freeze order on debenture
Firm allegedly made misrepresentations to investors
- By: James Langton
- March 8, 2007 March 8, 2007
- 15:46
Hands-off regulation works best: EU commissioner
Certain issues “are for the markets and shareholders to decide, not for politicians”
- By: James Langton
- March 8, 2007 March 8, 2007
- 15:37
SEC suspends trading of spam e-mail-related companies
The trading suspensions are the most ever aimed at spammed companies
- By: James Langton
- March 8, 2007 March 8, 2007
- 15:25
OSC panel grants extension to RIM on quarterly reports
RIM to appear before panel on June 5
- By: IE Staff
- March 8, 2007 March 8, 2007
- 08:10
SEC freezes Latvian bank’s trading account
Account was used to conduct a high-tech market manipulation scheme
- By: James Langton
- March 7, 2007 March 7, 2007
- 16:25
Don’t issue novel securities, banks told
OSFI stresses that covered bonds cannot be issued until policy concerns are resolved
- By: James Langton
- March 7, 2007 March 7, 2007
- 16:22
AMF launches proceedings against advisor
Steven Demers facing 162 charges for alleged violations of the Securities Act
- By: James Langton
- March 7, 2007 March 7, 2007
- 11:06
Alberta releases 2005 Superintendent of Insurance report
45 disciplinary actions were taken during the year
- By: James Langton
- March 6, 2007 March 6, 2007
- 16:35
FSA tackles financial crime in the insurance industry
The UK’s Financial Services Authority announced today that it has set up a reporting system designed to reduce the level of financial crime in the…
- By: James Langton
- March 6, 2007 March 6, 2007
- 12:13
NBSC bans former Assante broker for misleading clients
The New Brunswick Securities Commission has approved a settlement agreement with a former broker, James Hanley, banning him for 20 years from being registered to…
- By: James Langton
- March 5, 2007 March 5, 2007
- 15:30
Securities firms told to make special continuity plans for possible pandemic
Disruption would develop over time, for extended periods and in successive waves, IDA says
- By: James Langton
- March 5, 2007 March 5, 2007
- 10:40
OSC admits press release was wrong
Regulator says there is no longer has a reasonable prospect of conviction in Atlas case
- By: IE Staff
- March 4, 2007 March 4, 2007
- 16:30
IOSCO publishes report on conflicts of interest
Report discusses approaches for addressing conflicts that may arise during securities offerings
- By: James Langton
- March 4, 2007 March 4, 2007
- 15:30
NASD Foundation unveils investor protection grant program
Solicits proposals for research, education programs that protect investors from fraud
- By: James Langton
- March 2, 2007 March 2, 2007
- 16:40
U.S. regulators seek input on subprime mortgage lending practices
Agencies issue proposed statement
- By: James Langton
- March 2, 2007 March 2, 2007
- 16:30