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
Latest news in From the Regulators
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
B.C. man admits to unregistered trading
Fortune Capital owner fined $50,000
- By: IE Staff
- March 13, 2007 March 13, 2007
- 10:25
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