New Brunswick regulator warns of investor traps
NBSC issues list of common scams
- By: James Langton
- October 20, 2006 October 20, 2006
- 09:55
Latest news in From the Regulators
Court orders former NYSE chief to repay millions in compensation
Grasso accepted pension benefits without disclosure to board of directors
- By: James Langton
- October 20, 2006 October 20, 2006
- 08:10
RS proceedings against Northern adjourned indefinitely
Firm seeks hearing with OSC over UMIR
- By: IE Staff
- October 19, 2006 October 19, 2006
- 13:50
SEC amends tender offer best-price rules
The U.S. Securities and Exchange Commission yesterday gave unanimous final approval to changes to its “best price” rule concerning tender offers. The “best price” rule…
- By: James Langton
- October 19, 2006 October 19, 2006
- 09:20
CSA urges investors to research investments pitched in the media
Investors told not to assume an opportunity is authentic
- By: IE Staff
- October 17, 2006 October 17, 2006
- 13:15
New York settles with Morgan Stanley
Firm to pay more than US$1 million for failing to supervise broker who defrauded 15 clients
- By: IE Staff
- October 17, 2006 October 17, 2006
- 11:30
Dickson named acting chief of OSFI
Search to find new superintendent is underway
- By: James Langton
- October 16, 2006 October 16, 2006
- 13:10
SEC charges 3 former Enron employees with violating securities laws
Lipshutz, former Enron vp, simultaneously settles charges
- By: IE Staff
- October 16, 2006 October 16, 2006
- 07:15
IDA proposes extending use of complex option strategies
No unique reasons to continue restricting the use of the debt offset regulations to member firms
- By: James Langton
- October 13, 2006 October 13, 2006
- 15:45
CIPF to eliminate regulatory requirements on IDA firms
Effort to reduce regulatory burden
- By: James Langton
- October 13, 2006 October 13, 2006
- 14:40
Auto insurer penalized for overcharging premiums
Alberta fines State Farm $45,000
- By: James Langton
- October 13, 2006 October 13, 2006
- 08:50
Western Financial Group appoints new vice chairman
Approves change to dividend policy
- By: IE Staff
- October 12, 2006 October 12, 2006
- 09:10
OSC accuses Norshield of misleading investors, investigators
Funds deposited offshore, regulator says
- By: IE Staff
- October 12, 2006 October 12, 2006
- 07:40
B.C. proposes dividend tax credit rate of 12%
Legislation to be tabled with the next provincial budget
- By: James Langton
- October 11, 2006 October 11, 2006
- 15:35
RS seeks comment on multiple markets proposals
Comments due November 6
- By: James Langton
- October 10, 2006 October 10, 2006
- 07:20
Bank supervisors endorse updated international principles for effective supervision
Cooperation among supervisors are hugely important, Le Pan says
- By: James Langton
- October 6, 2006 October 6, 2006
- 14:37
Ontario, Ottawa sign corporate tax agreement
Businesses will benefit from single tax collector
- By: IE Staff
- October 6, 2006 October 6, 2006
- 10:40
Single regulator would reduce burden on companies, Phillips says
Speaking to the Economic Club of Toronto today, Ontario Minister for Government Services, Gerry Phillips, reiterated Ontario’s demand for a national securities regulator, and suggested…
- By: James Langton
- October 5, 2006 October 5, 2006
- 15:40
Feds toughen anti-money laundering and anti-terrorist financing regime
Proposed amendments make Canada consistent with new FATF standards
- By: IE Staff
- October 5, 2006 October 5, 2006
- 11:10
Regulators must cooperate to fight economic crime effectively, IDA chief says
In a recent speech to the Joint Securities Intelligence Unit Conference, Joe Oliver, president & CEO of the Investment Dealers Association of Canada, said that…
- By: James Langton
- October 5, 2006 October 5, 2006
- 10:15
NYSE Regulation fines CIBC World Markets, Nandra Group
Suspends allied member for stock loan violations
- By: James Langton
- October 5, 2006 October 5, 2006
- 09:50
IDA releases final report of Task Force to Modernize Securities Legislation in Canada
The Investment Dealers Association of Canada (IDA) today welcomed the release of the final report of the Task Force to Modernize Securities Legislation in Canada.On…
- By: IE Staff
- October 4, 2006 October 4, 2006
- 14:50
NASD fines Oppenheimer and Co. US$800,000
Alleges brokerage failed to respond to regulatory requests
- By: IE Staff
- October 4, 2006 October 4, 2006
- 10:45
Canada’s financial system is safe and sound: OSFI annual report
Regulator strikes a balance, Le Pan says
- By: IE Staff
- October 4, 2006 October 4, 2006
- 10:10
BCSC launches fraud awareness campaign
InvestRight Web site offers a wide range of tools to help investors develop critical thinking skills
- By: James Langton
- October 4, 2006 October 4, 2006
- 07:15