Quebec regulator issues freeze order on debenture
Firm allegedly made misrepresentations to investors
- By: James Langton
- March 8, 2007 March 8, 2007
- 15:46
Latest news in From the Regulators
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
MX disciplines three firms
Canaccord Capital fined $35,000
- By: James Langton
- March 2, 2007 March 2, 2007
- 15:45
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