SFSC issues cease trade on Belize firm
Regulator warns about investment schemes
- By: James Langton
- May 8, 2007 May 8, 2007
- 15:30
Latest news in From the Regulators
Regulators join forces to warn investors foreign currency trading frauds
The Commodity Futures Trading Commission and the North American Securities Administrators Association issued a joint investor alert to warn of the dangers facing retail investors…
- By: James Langton
- May 8, 2007 May 8, 2007
- 10:35
UK regulator announces progress made on customer fairness iniative
FSA sets further deadline of December 2008
- By: IE Staff
- May 8, 2007 May 8, 2007
- 09:35
Court upholds OSC decision in Ochnik case
Reasonable for regulator to conclude that Ochnik engaged in an RRSP/loan scheme and traded while unregistered and without a prospectus
- By: James Langton
- May 7, 2007 May 7, 2007
- 15:10
SEC settles administrative proceeding Against Zurich Capital Markets
Firm to pay US$16.8 million for financing of hedge funds’ illegal market timing
- By: James Langton
- May 7, 2007 May 7, 2007
- 10:45
IDA releases due diligence guide on principal-protected notes
The Investment Dealers Association of Canada (IDA) today released “Due Diligence Guide on Principal-protected Notes”. The Ggide will assist investment dealers in meeting their know-your-product…
- By: IE Staff
- May 7, 2007 May 7, 2007
- 09:25
SEC and partners to present investor protection symposium in Chicago
The May 18 event will focus on issues facing seniors as they prepare for, and enjoy, their retirement
- By: James Langton
- May 6, 2007 May 6, 2007
- 15:15
SEC charges banker with tipping
Credit Suisse banker illegally gave non-public information to a person believed to be a Pakistani banker
- By: James Langton
- May 4, 2007 May 4, 2007
- 11:03
OSC to commence new proceedings against Andrew Rankin
Rankin was charged with 10 counts of tipping and 10 counts of illegal trading
- By: James Langton
- May 3, 2007 May 3, 2007
- 15:00
OSFI effective, but needs improvement
Report reveals that OSFI needs to improve its ability to deal with emerging actuarial issues among others
- By: James Langton
- May 3, 2007 May 3, 2007
- 11:25
SIFMA in favour of moving to principles-based regulation
Focusing on outcomes rather than processes is the best way to ensure that regulation works, it says
- By: James Langton
- May 3, 2007 May 3, 2007
- 10:55
Firm fined for providing investment advice without being registered
The New Brunswick Securities Commission has ordered Baskin Financial Services Inc. to pay an administrative penalty of $35,000, $3,600 in past registration fees plus costs…
- By: James Langton
- May 3, 2007 May 3, 2007
- 09:35
IDA clarifies training program requirement for certain registered reps
Registration applicants could be exempt from the 30-day or 90-day training programs if they meet certain criteria
- By: James Langton
- May 2, 2007 May 2, 2007
- 15:25
A.G. Edwards & Sons settles with SEC
The St. Louis broker-dealer will have to pay a total of almost US$4 million for failing to supervise some registered rep
- By: James Langton
- May 2, 2007 May 2, 2007
- 14:53
OSFI warns firms on new institutional trade matching rule
Firms must now establish, maintain and enforce policies and procedures designed to achieve matching of institutional trades on the day the trade was executed
- By: James Langton
- May 2, 2007 May 2, 2007
- 10:52
OSFI to be lax on equity investment limits in new accounting standards
The regulator intends to advance recommendations to address unintended impact of new standards
- By: James Langton
- May 1, 2007 May 1, 2007
- 11:20
U.S. regulator, exchange fine and suspend two traders
Klaus Offenbacher and Bruce Kaminski artificially increased the market price of a stock
- By: James Langton
- April 30, 2007 April 30, 2007
- 15:44
SEC chairman discusses future collaboration with European regulators
Discussion focused on developments in international and U.S. accounting standards
- By: James Langton
- April 29, 2007 April 29, 2007
- 16:20
OSC seeks comments on priorities for year ahead
The commission is seeking to beef up its enforcement abilities and its efforts to protect retail investors
- By: James Langton
- April 29, 2007 April 29, 2007
- 15:45
Regulators grant IRC relief
Fund manager is given until Oct. 1 to terminate funds, offer new ones under exemptions
- By: James Langton
- April 27, 2007 April 27, 2007
- 16:03
Regulators grant exemption to investment fund from certain reporting obligations
But the fund must provide alternative discloser outlining cost of investments, among others
- By: James Langton
- April 27, 2007 April 27, 2007
- 15:43
Mutual fund sales practices rule will not be revised, OSC says
Rule strikes “the right balance between protecting investors, and fostering fair and efficient capital markets”
- By: James Langton
- April 27, 2007 April 27, 2007
- 15:18
TSX amends issuer bid policy
Amendments don’t include rules for derivatives and accelerated buy backs in connection with normal course issuer bids
- By: James Langton
- April 27, 2007 April 27, 2007
- 15:17
SEC announces US$79 million fair fund distribution in Edward Jones revenue sharing settlement
Beneficiaries were victims of Edward Jones’ failure to adequately disclose revenue payments from a select group of mutual fund companies
- By: James Langton
- April 27, 2007 April 27, 2007
- 07:40
OSC working to improve investment fund disclosure
Too easy for investors to be drowned out in a chorus of well-financed voices, Wilson laments
- By: James Langton
- April 26, 2007 April 26, 2007
- 17:50