State securities regulators report 23% increase in enforcement actions: NASAA
More money ordered returned to investors
- By: James Langton
- December 12, 2006 December 12, 2006
- 12:25
Latest news in From the Regulators
B.C. pair admits to spreading false information about U.S. traded company
BCSC fines two men at total of $65,000
- By: IE Staff
- December 12, 2006 December 12, 2006
- 09:35
OSC seeks to appeal Rankin decision
Motion to be heard in Feburary
- By: James Langton
- December 11, 2006 December 11, 2006
- 17:20
OSC orders group to halt offshore sales
The Ontario Securities Commission has ordered a group of Ontario residents to stop selling offshore investment products after discovering more than $23 million has been…
- By: IE Staff
- December 11, 2006 December 11, 2006
- 16:35
Dodge urges more efficiency in financial system
Canada should try to develop a comparative advantage in securities regulation for smaller firms
- By: James Langton
- December 11, 2006 December 11, 2006
- 13:55
BCSC commissioner resigns
Salvail-Lopez steps down for medical reasons
- By: James Langton
- December 11, 2006 December 11, 2006
- 11:50
CSA report aimed at improving SROs
The Canadian Securities Administrators have published a report reviewing their oversight of self-regulatory organizations. It makes a number of recommendations for improving self-regulation, and its…
- By: James Langton
- December 11, 2006 December 11, 2006
- 10:25
OSFI pushes for formality in reinsurance agreements
Regulator issues draft guideline, seeks comments
- By: James Langton
- December 10, 2006 December 10, 2006
- 16:25
OSC names two new commissioners
Margot Howard was portfolio manager with AMI Partners; Kevin Kelly was president of Fidelity Investments
- By: IE Staff
- December 7, 2006 December 7, 2006
- 16:05
RBC DS penalized for capital-ratio deficiency
IDA imposes $80,000 fine
- By: IE Staff
- December 7, 2006 December 7, 2006
- 12:35
NASD board consolidation with NYSE Regulation
By-law changes now go to NASD member firms for approval
- By: James Langton
- December 7, 2006 December 7, 2006
- 11:35
Spam e-mails promoting hot stocks a risky proposition, regulators warn
Microcap stocks may trade on markets with few listing standards
- By: IE Staff
- December 7, 2006 December 7, 2006
- 11:10
SEC to consider recommendation to repropose deregistration rules for foreign private issuers
Deregistration thresholds would be based solely on trading volume
- By: James Langton
- December 7, 2006 December 7, 2006
- 10:10
IDA finds Global Securities broker guilty of failing to act as gatekeeper
Penalty hearing for Toban to be held on Dec. 20
- By: IE Staff
- December 5, 2006 December 5, 2006
- 14:20
SEC files emergency enforcement action to cross-border prime bank scheme
Virginia company solicited investors in B.C. and U.S. Pacific Northwest
- By: IE Staff
- December 5, 2006 December 5, 2006
- 12:15
BCSC fines Kelowna man $100,000
Kuipers sold and exchanged life insurance policies for securities
- By: IE Staff
- December 4, 2006 December 4, 2006
- 15:40
IDA imposes $750,000 fine on Canaccord and co-branch managers
Firm failed to supervise former Vancouver rep
- By: IE Staff
- December 4, 2006 December 4, 2006
- 14:15
NASD fines Jefferies & Co. US$5.5 million for providing improper gifts to Fidelity traders
Former Jefferies trader barred, supervisor suspended and fined
- By: James Langton
- December 4, 2006 December 4, 2006
- 11:55
IDA fines Berkshire reps for concealing advertising costs
Pair fined $25,000 each; suspended for 9 months
- By: IE Staff
- December 4, 2006 December 4, 2006
- 11:10
CSA proposes to place all requirements for forward-looking information in one location
Streamlined approach will simplify and clarify expectations for issuers
- By: James Langton
- December 1, 2006 December 1, 2006
- 15:55
MFDA amends rule concerning calculation of risk adjusted capital
Amendments require members to maintain positive financial statement capital
- By: James Langton
- December 1, 2006 December 1, 2006
- 15:50
NBSC honoured at Canadian Investment Awards
Regulators’s Fostering Capital Markets recognized as Best New Initiative
- By: James Langton
- December 1, 2006 December 1, 2006
- 10:10
MX fines options trader
Abarbanel fined $15,000 for manipulative trading
- By: IE Staff
- November 30, 2006 November 30, 2006
- 15:45
Compliance an integral part of business activities, regulators say
SROs issue joint notice on compliance
- By: James Walker
- November 30, 2006 November 30, 2006
- 13:15
U.S. panel seeks to reduce burden of litigation
Warns of danger in falling behind best practices in shareholder rights
- By: James Langton
- November 30, 2006 November 30, 2006
- 12:55