MX disciplines three firms
Canaccord Capital fined $35,000
- By: James Langton
- March 2, 2007 March 2, 2007
- 15:45
Latest news in From the Regulators
Brokers expected to report healthy results in first quarter: report
Sector’s 12-month risk/reward profile is attractive, says UBS Securities
- By: James Langton
- March 2, 2007 March 2, 2007
- 12:40
Supreme Court denies leave to appeal from TSXV suitability decisions
TSX Venture Exchange pleased with decision
- By: IE Staff
- March 2, 2007 March 2, 2007
- 09:20
Provincial, Territorial securities ministers issue progress report
All jurisdictions committed to introducing “passport tools”
- By: James Langton
- March 1, 2007 March 1, 2007
- 15:55
SEC charges 14 in Wall Street insider trading ring
Defendants Include hedge funds, lawyers and professionals at UBS, Bear Stearns, and Morgan Stanley
- By: James Langton
- March 1, 2007 March 1, 2007
- 14:55
OSFI releases updated pension members’ guide
Guide explains minimum standards for private pension plans
- By: IE Staff
- March 1, 2007 March 1, 2007
- 14:30
Canadians need to strike back in fight against fraud
March is Fraud Prevention Month
- By: James Langton
- March 1, 2007 March 1, 2007
- 12:20
BCSC upholds allegations against former Foresight broker
Dismisses related allegations against Foresight, company president
- By: IE Staff
- March 1, 2007 March 1, 2007
- 10:55
IDA tackles compliance with broker-to-broker trade matching rule
Compliance rates need to improve, regulator says
- By: James Langton
- February 28, 2007 February 28, 2007
- 16:45
OSC issues new resource to help families research RESPs
Investor complaints reflect lack of understanding of how the investment works
- By: IE Staff
- February 28, 2007 February 28, 2007
- 10:40
EU states reluctant to give a greater say to shareholders during takeover bids: report
Some countries are even giving companies more power to thwart bids
- By: James Langton
- February 27, 2007 February 27, 2007
- 16:10
OSC loses bid to overturn Rankin ruling
Court of Appeal dismisses application
- By: James Langton
- February 27, 2007 February 27, 2007
- 15:40
OSFI outlines priorities for next three years
Canadian financial institutions are operating in an increasingly complex, international environment
- By: James Langton
- February 26, 2007 February 26, 2007
- 16:30
Regulators approve changes to trading rules
UMIR amendments accommodate the introduction of multiple marketplaces trading the same securities
- By: James Langton
- February 26, 2007 February 26, 2007
- 16:25
Scotia Capital agrees to settlement with RS
Not appropriate for dealer to retain profits generated by the wrongdoing of its employees
- By: IE Staff
- February 26, 2007 February 26, 2007
- 15:30
AXA Canada in compliance with Quebec regulator
Insurer improves practices for disclosing business relationships to AMF
- By: James Langton
- February 23, 2007 February 23, 2007
- 16:20
Regulators define “senior officer”, “officer” and “insider”
CSA notice explains use of terms
- By: James Langton
- February 23, 2007 February 23, 2007
- 16:10
OSC announces membership of Small Business Advisory Committee
Committee reflects broad spectrum of industry sectors
- By: IE Staff
- February 23, 2007 February 23, 2007
- 10:30
Regulators taking proactive approach to economic crime, OSC chairman says
Joint Securities Intelligence Unit working to stop crime before investors are harmed
- By: James Langton
- February 22, 2007 February 22, 2007
- 15:55
OSC names two vice-chairmen
Ritchie, Turner appointed to five-year terms
- By: IE Staff
- February 22, 2007 February 22, 2007
- 11:50
NASD fines Raymond James for lax supervision of producing branch managers
The National Association of Securities Dealers today announced that it has fined Raymond James Financial Services Inc. US$2.75 million for failing to maintain an adequate…
- By: James Langton
- February 21, 2007 February 21, 2007
- 15:50
Regulators propose changes to registration regime
Investment fund managers would be required to register
- By: IE Staff
- February 20, 2007 February 20, 2007
- 11:25
Bank of Canada sees no need for proposed financial reporting requirements
No evidence that benefits of providing additional information outweigh the costs, Jenkins says
- By: James Langton
- February 20, 2007 February 20, 2007
- 11:10
ASC finds Euston Capital engaged in illegal distributions
Regulator to hold hearing to consider sanctions
- By: IE Staff
- February 16, 2007 February 16, 2007
- 14:10
Finance director charged in income trust leak
RCMP concludes income trust investigation
- By: IE Staff
- February 15, 2007 February 15, 2007
- 17:50