NASAA unveils pro-investor legislative agenda
Regulators seeking to advance investor protection
- By: James Langton
- January 25, 2007 January 25, 2007
- 16:45
Latest news in From the Regulators
B.C., Alberta issue warning to investors
Suspicious investment scheme operating in the two provinces
- By: IE Staff
- January 25, 2007 January 25, 2007
- 14:30
SEC approves new NASD Code of Arbitration Procedure
Improvements provide more guidance to parties and arbitrators
- By: James Langton
- January 24, 2007 January 24, 2007
- 15:10
IDA fines broker $20,000 for role in stock manipulation
Faiello handed 2-year suspension
- By: IE Staff
- January 24, 2007 January 24, 2007
- 12:20
New FSA team to crack down on financial crime
New division will examinerisks facing consumers from increasing information security and high-tech crime
- By: James Langton
- January 22, 2007 January 22, 2007
- 11:50
NASD firms embrace streamlined, more efficient regulation
Securities industry overwhelmingly approves NASD by-law changes needed for consolidation of NASD and NYSE regulation
- By: James Langton
- January 22, 2007 January 22, 2007
- 11:35
CSA launches XBRL voluntary filing program
Regulators hope to gain a greater understanding of this new technology with pilot program
- By: James Langton
- January 19, 2007 January 19, 2007
- 11:35
CSA proposes changes to oil & gas disclosure standards
Amendments would remove certain annual filing requirements
- By: James Langton
- January 18, 2007 January 18, 2007
- 16:20
MFDA issues penalty guidelines
Hearing panels not bound to guidelines when imposing penalties
- By: James Langton
- January 18, 2007 January 18, 2007
- 12:50
U.S. fund company to settle market timing and late trading violations, SEC says
The U.S. Securities and Exchange Commission today announced that yet another fund company will settle market timing and late trading charges. The SEC reported that…
- By: James Langton
- January 18, 2007 January 18, 2007
- 12:40
Capital Financial Trust perpetrating an “advance fee” fraud, FSCO says
Regulator issues consumer warning
- By: James Langton
- January 18, 2007 January 18, 2007
- 12:20
Ontario mutual fund salesman fined $150,000
MFDA permanently bans former Investia rep
- By: IE Staff
- January 18, 2007 January 18, 2007
- 11:10
Commons committee to review income trust changes
Hearings could start as early as Jan. 29
- By: IE Staff
- January 18, 2007 January 18, 2007
- 09:50
NYSE Regulation fines seven specialist firms $US2.8 million for trading violations
Firms cited for violations of order handling obligations, short lales and intermarket trading system commitments
- By: IE Staff
- January 17, 2007 January 17, 2007
- 10:55
FSA head to step down
Tiner plans July exit
- By: James Langton
- January 16, 2007 January 16, 2007
- 12:40
IDA fines Ottawa broker $40,000
Imposes one month suspension
- By: IE Staff
- January 15, 2007 January 15, 2007
- 13:45
Appeal court overturns damage award against advisors for switching firms
Advisors allowed to take list of “book of business”
- By: Stewart Lewis
- January 15, 2007 January 15, 2007
- 13:25
RS proposes new fee model to recover costs
New fee model more accurately captures fixed costs of regulation services
- By: James Langton
- January 14, 2007 January 14, 2007
- 12:20
Canadian regulators release results of hedge fund review
Hedge fund managers will have to register
- By: James Langton
- January 14, 2007 January 14, 2007
- 11:45
CSA reports on enforcement activity
13 settlement agreements concluded in a six-month period
- By: IE Staff
- January 12, 2007 January 12, 2007
- 11:35
Investors warned about oil and gas scams
Fraudulent oil and gas deals remain a favorite ploy of con artists, NASAA says
- By: James Langton
- January 11, 2007 January 11, 2007
- 16:40
Montreal broker guilty of failing to act as a gatekeeper, IDA panel finds
Penalty hearing to be held at a later date
- By: IE Staff
- January 11, 2007 January 11, 2007
- 15:50
IDA fines Argosy rep $40,000
Ontario woman made discretionary trades without appproval
- By: IE Staff
- January 11, 2007 January 11, 2007
- 11:40
Former CRA employee sentenced for fraud
Changes to tax declarations resulted in higher refunds
- By: IE Staff
- January 10, 2007 January 10, 2007
- 14:40