SFSC Web site adds registrant search feature
Function allows searches of firms and individuals
- By: James Langton
- January 10, 2007 January 10, 2007
- 12:10
Latest news in From the Regulators
Former Putnam CEO settles charges with SEC
Lasser to pay US$75,000 in civil penalties
- By: James Langton
- January 9, 2007 January 9, 2007
- 17:40
OSC urges regular testing of business continuity plans
The Ontario Securities Commissions has issued a notice emphasizing the importance of business continuity planning.The notice indicates that the OSC is part of the global…
- By: James Langton
- January 7, 2007 January 7, 2007
- 16:40
CSA proposes changes to income trust policy
Amendments set out expectations regarding reporting of distributable cash, continuous disclosure
- By: James Langton
- January 5, 2007 January 5, 2007
- 13:35
U.S. regulators issue statement concerning elevated risk complex structured finance activities
Five U.S. federal regulatory agencies today issued a final statement on the complex structured finance activities of financial institutions.The statement, which was issued by the…
- By: James Langton
- January 5, 2007 January 5, 2007
- 13:30
CSA proposes policy for revoking a cease trade order
Comments due March 6
- By: IE Staff
- January 5, 2007 January 5, 2007
- 12:45
Former CEO of B.C. company ordered to pay US$540,000 penalty
Adult web site company subject of stock fraud scheme, SEC alleges
- By: James Langton
- January 4, 2007 January 4, 2007
- 16:55
ASC settles with convicted criminal acting as officer of TSX-listed company
Wenzel to refrain from acting as director or officer for 10 years
- By: IE Staff
- January 4, 2007 January 4, 2007
- 14:55
CSA announces “This is your life” contest winners
Ontario woman awarded $2,000
- By: IE Staff
- January 4, 2007 January 4, 2007
- 10:55
IDA fines former CIBC rep $50,000
Imposes five year suspension
- By: IE Staff
- January 3, 2007 January 3, 2007
- 11:45
IDA puts new proficiency requirements into effect
The amendments have been waiting for final approval from the securities commissions since 2004
- By: James Langton
- January 2, 2007 January 2, 2007
- 16:49
Amendments to ATS trading rules take effect Dec. 29
Saskatchewan moves to provide interim relief
- By: James Langton
- December 22, 2006 December 22, 2006
- 16:30
Blue Range misled public, ASC says
Hearing took place over 137 days
- By: IE Staff
- December 22, 2006 December 22, 2006
- 08:40
Government releases draft proposals to implement tax on income trusts
Comments due by Jan. 31
- By: IE Staff
- December 22, 2006 December 22, 2006
- 08:25
Regulators propose harmonized prospectus rule
The Canadian Securities Administrators (CSA) is seeking comments on a proposed rule proposed aimed at providing market participants, including certain types of investments funds, with…
- By: IE Staff
- December 21, 2006 December 21, 2006
- 15:40
NY state resolves market timing issues with Deutsche Bank
Firm adopts business reforms in US$208 million settlement
- By: James Langton
- December 21, 2006 December 21, 2006
- 12:20
SIFMA releases policy statement on error trade policies
Establishment of clear policies and procedures will help markets function more efficiently and promote market integrity
- By: James Langton
- December 20, 2006 December 20, 2006
- 16:28
IDA issues notice on client complaint process
Notice also outlines current rules, expectations and industry best practices
- By: James Langton
- December 20, 2006 December 20, 2006
- 16:16
OSC’s Wolburgh Jenah to head proposed new SRO
New single entity to succeed IDA, RS
- By: IE Staff
- December 20, 2006 December 20, 2006
- 14:55
SEC takes action to stop online account intrusion scheme
Foreign traders hijacked online brokerage accounts to conduct “pump and dump” scheme
- By: James Langton
- December 19, 2006 December 19, 2006
- 17:40
NASD charges Morgan Stanley DW with failing to provide e-mails to
Alleges firm falsely claimed that millions of e-mails lost in 9-11 terrorist attacks
- By: James Langton
- December 19, 2006 December 19, 2006
- 17:35
Proposed auditing standard is a welcome development, says SEC chairman
Proposals should significantly improve the implementation of SOX Section 404
- By: James Langton
- December 19, 2006 December 19, 2006
- 17:30
OSC grants RIM delay to file revised statements
Cease trade order continues for company’s insiders
- By: IE Staff
- December 18, 2006 December 18, 2006
- 16:40
CSA extends exemption from the mandatory transparency requirements
New deadine is Dec. 31, 2011
- By: James Langton
- December 18, 2006 December 18, 2006
- 16:25