NASD charges two former Prudential brokers
Pair facilitated hedge fund manager’s deceptive market timing, regulator alleges
- By: IE Staff
- February 15, 2007 February 15, 2007
- 17:30
Latest news in From the Regulators
Expenses increase ASC loss in Q3
Year-to-date income ahead of last year
- By: James Langton
- February 15, 2007 February 15, 2007
- 17:20
Company can sue TSX Venture Exchange, court rules
The Supreme Court of British Columbia has ruled that a company can sue the TSX Venture Exchange Inc., and isn’t required to direct its complaint…
- By: James Langton
- February 15, 2007 February 15, 2007
- 16:20
MFDA issues notice on outsourcing
Notice spells out principles adopted by IOSCO regarding outsourcing
- By: James Langton
- February 14, 2007 February 14, 2007
- 15:40
B.C. man banned from trading securities for 10 years
The British Columbia Securities Commission has reached a settlement with a B.C. man banning him from securities trading for 10 years after he admitted to…
- By: IE Staff
- February 14, 2007 February 14, 2007
- 10:45
Fine follows theft of laptop from employee’s home
- By: James Langton
- February 14, 2007 February 14, 2007
- 10:15
NASD fines three firms for improper training and education expenditures
Firms improperly entertained brokers, reimbursed guest expenses
- By: IE Staff
- February 12, 2007 February 12, 2007
- 16:40
lDA fines Caldwell broker $55,000 for unauthorized trading
Clarke dealt one year suspension and permanent restrictions
- By: IE Staff
- February 12, 2007 February 12, 2007
- 15:10
Tax discounter fined for failing to provide clients with refunds
Ontario man fined $8,000, CRA reports
- By: IE Staff
- February 9, 2007 February 9, 2007
- 13:55
Reporting requirements for internal controls to apply by mid-2008, CSA says
Regultaors to publish proposed revisions for public comment by the end of March
- By: James Langton
- February 9, 2007 February 9, 2007
- 10:55
NYSE Regulation centures Deutsche Bank Securities
Firm fined US$1.3 million in two actions
- By: James Langton
- February 8, 2007 February 8, 2007
- 11:35
NASD cautions investors about life settlements
High costs, pricing, impact on finances and privacy potential pitfalls
- By: James Langton
- February 8, 2007 February 8, 2007
- 10:55
NYSE Regulation takes action against three firms
NYSE Regulation today announced disciplinary actions against three firms.Morgan Stanley & Co. Inc. allegedly violated NYSE rules by failing to provide for, maintain, and implement…
- By: James Langton
- February 7, 2007 February 7, 2007
- 10:40
NYSE Regulation fines former president of specialist firm for failure to supervise
Charges also issued against nine others in connection with interpositioning investigation
- By: James Langton
- February 6, 2007 February 6, 2007
- 11:25
CCIR agrees on three principles as best practices in managing conflicts of interest
FSCO plans to review principles
- By: James Langton
- February 6, 2007 February 6, 2007
- 11:15
NASD fines four Fidelity-affiliated dealers US$3.75 million
Fidelity Distributors failed to supervise for compliance, conflicts of interest
- By: James Langton
- February 5, 2007 February 5, 2007
- 16:20
IDA fines Unions Securities manager $15,000
Calgary branch manager failed to supervise client accounts
- By: IE Staff
- February 5, 2007 February 5, 2007
- 13:55
AMF amends guideline on capital adequacy for insurers and cooperatives
Revised guidelines effective January 1
- By: James Langton
- February 2, 2007 February 2, 2007
- 16:40
B.C. father and son duo admit to illegal distribution of offshore securities
Pair made misrepresentations to investors, regulator says
- By: IE Staff
- February 2, 2007 February 2, 2007
- 09:50
CFTC issues new governance guidelines for futures exchanges
Focus on the dual roles of exchanges as for-profit businesses and industry watchdogs
- By: James Langton
- February 1, 2007 February 1, 2007
- 12:40
SEC proposes expansion of interactive data voluntary program
Expanded program would enable mutual funds to submit data tagged risk/return summary information
- By: IE Staff
- February 1, 2007 February 1, 2007
- 11:30
Banks taking cautious approach to hedge funds: OSFI
Risk management practices are adequate
- By: James Langton
- January 31, 2007 January 31, 2007
- 16:30
FSA urges firms to improve stress testing
Report highlights the greater impact a shock could have were it to happen in the next 18 months
- By: James Langton
- January 31, 2007 January 31, 2007
- 10:10