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
Latest news in From the Regulators
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
NASD fines USAllianz Securities US$5 million for supervisory, record-keeping violations
The National Association of Securities Dealers announced today that it has fined USAllianz Securities US$5 million for widespread deficiencies in its supervisory system and for…
- By: IE Staff
- December 18, 2006 December 18, 2006
- 16:15
IDA imposes $50,000 fine on Credifinance Securities
Firm failed to co-operate with regulator’s investigation
- By: IE Staff
- December 18, 2006 December 18, 2006
- 15:40
Ottawa to support regulation passport model
Flaherty announces new collaborative steps with provincial and territorial finance ministers
- By: James Langton
- December 18, 2006 December 18, 2006
- 09:30
Money laundering and terrorist financing amendments receive Royal Assent
Changes make anti-money laundering regime consistent with new FATF standards
- By: IE Staff
- December 17, 2006 December 17, 2006
- 16:20
SEC offers further relief from Sarbanes-Oxley for smaller companies, newly public companies
Regulator postponing Section 404 reporting requirements
- By: James Langton
- December 15, 2006 December 15, 2006
- 15:55
CSA publishes harmonized list of issuer deficiencies
The Canadian Securities Administrators have published a notice dealing with reporting issuer defaults.The regulators note that they have developed a harmonized list of deficiencies that…
- By: James Langton
- December 15, 2006 December 15, 2006
- 10:50
SEC to adopt e-proxy rule amendments
The U.S. Securities and Exchange Commission has voted to adopt amendments to its proxy rules that would allow companies to deliver proxy materials to shareholders…
- By: James Langton
- December 14, 2006 December 14, 2006
- 16:50
Scotiabank acquires majority stake in Jamaican securities dealer
Dehring Bunting & Golding is the largest equity broker in Jamaica
- By: IE Staff
- December 14, 2006 December 14, 2006
- 11:25
U.S. import prices climb after two-month decline
Jobless claims drop by 20,000
- By: IE Staff
- December 14, 2006 December 14, 2006
- 10:10
SEC to repropose rules allowing foreign private issuer deregistration
Proposal intended to provide more clarity and certainty to foreign issuers
- By: James Langton
- December 13, 2006 December 13, 2006
- 16:50
SEC proposes interpretive guidance for management to improve Sarbanes-Oxley 404 implementation
Proposed amendments clarify auditor’s reporting requirement
- By: IE Staff
- December 13, 2006 December 13, 2006
- 16:40
NASD fines four firms for supervisory failures
Edward Jones, RBC Dain Rauscher, Royal Alliance, and Morgan Stanley to pay US$43.8 million
- By: James Langton
- December 13, 2006 December 13, 2006
- 16:35
MX fines broker $50,000
The disciplinary committee of Montreal Exchange has fined a former registered representative of BLC Securities Inc. and Laurentian Bank Securities Inc. $50,000 for excessive trading…
- By: IE Staff
- December 12, 2006 December 12, 2006
- 16:40
NY State lawsuit alleges fraud in UBS brokerage accounts
Company illegally lured retail investors into high-fee program, attorney general says
- By: James Langton
- December 12, 2006 December 12, 2006
- 16:25
SEC files complaint against Bennett Environmental, former officers
Alleges firm issued misleading information concerning soil remediation contract
- By: James Langton
- December 12, 2006 December 12, 2006
- 16:10
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
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