Court throws out Rankin conviction
Trial judge failed to address inconsistencies in testimony
- By: IE Staff
- November 9, 2006 November 9, 2006
- 16:10
Latest news in From the Regulators
Hartford to pay US$55 million to settle directed brokerage charges
Firm failed to disclose use of fund assets to pay for marketing and distribution costs
- By: IE Staff
- November 9, 2006 November 9, 2006
- 12:10
Changes to Saskatchewan securities laws given first reading
Proposed amendments intended to harmonize processes with those in other Canadian jurisdictions
- By: IE Staff
- November 9, 2006 November 9, 2006
- 10:55
OSC launches probe of RIM
Regulators examining stock option practices
- By: IE Staff
- November 9, 2006 November 9, 2006
- 08:45
Cross-border stock scheme ends with two B.C. men ordered out of capital market
Pair admitted to illegally distributing securities
- By: IE Staff
- November 8, 2006 November 8, 2006
- 12:40
IDA panel finds Credifinance guilty of failure to co-operate
Failure to provide information undermines the integrity of the self-regulatory system, IDA says
- By: IE Staff
- November 7, 2006 November 7, 2006
- 13:10
IDA issues guidance on new accounting standards for financial instruments
The Investment Dealers Association of Canada has issued a notice that aims to provide guidance concerning the application of new accounting standards for financial instruments.…
- By: James Langton
- November 6, 2006 November 6, 2006
- 16:25
FSA launches discussion on private equity market
Shift of capital from public to private equity market poses challenges for regulators
- By: IE Staff
- November 6, 2006 November 6, 2006
- 09:50
Proposed amendments intended to harmonize Ontario securities law with other jurisdictions
Courts to gain authority to order that the convicted persons or companies to make restitution
- By: James Langton
- November 6, 2006 November 6, 2006
- 08:10
BCSC to hold hearing into alleged investment fraud
Three men accused of running Prime Bank scheme
- By: IE Staff
- November 3, 2006 November 3, 2006
- 15:40
Nova Scotia proposes changes to Securities Act
Nova Scotia’s Finance Minister, Michael Baker, has introduced amendments to its Securities Act, which are designed to help to protect investors and harmonize the province’s…
- By: James Langton
- November 3, 2006 November 3, 2006
- 11:45
CRA issues warning on tax shelter gifting arrangements
Agency currently auditing many gifting arrangements
- By: James Langton
- November 1, 2006 November 1, 2006
- 10:50
FSA publishes proposals for move to principles-based regulation
Regulator calls for a radical simplification of the rules
- By: James Langton
- October 31, 2006 October 31, 2006
- 12:50
NBSC issues cease-trade order against Jabez Financial
Regulator investigating alleged unregistered trading
- By: James Langton
- October 31, 2006 October 31, 2006
- 10:10
IDA fines former Scotia Capital rep $60,000
B.C. rep loaned funds to a client without firm’s authorization
- By: IE Staff
- October 30, 2006 October 30, 2006
- 15:40
OSC issues cease trade order against RIM officers, insiders
Hearing set for November 7
- By: IE Staff
- October 30, 2006 October 30, 2006
- 14:50
MFDA seeks more flexibility with hearing panels
Hearings could continue with just two members
- By: James Langton
- October 30, 2006 October 30, 2006
- 08:20
OSC issues report on 2006 disclosure reviews
Number of continuous disclosure reviews up 19%
- By: James Langton
- October 27, 2006 October 27, 2006
- 15:40
IDA proposes new exam for chief compliance officers
Prospective and previously approved CCOs would have to pass qualifying exam
- By: IE Staff
- October 27, 2006 October 27, 2006
- 14:55
MFDA proposes broadening reporting requirements
Electronic reporting of enforcement and compliance related information would benefit members, regulator says
- By: James Langton
- October 27, 2006 October 27, 2006
- 14:10
ASC fines Edmonton man for misrepresentations
Kearl illegally distributed Canglobe shares
- By: IE Staff
- October 27, 2006 October 27, 2006
- 11:15
CSA mulling changes to insider reporting exemptions rule
Regulators propose to delete record-keeping requirements
- By: James Langton
- October 27, 2006 October 27, 2006
- 10:50
New SEDAR manual now available
New version reflects many changes
- By: IE Staff
- October 27, 2006 October 27, 2006
- 10:40
Regulators extend CanPX approval
Applications by other information processors under review
- By: James Langton
- October 27, 2006 October 27, 2006
- 10:15
SEC, NASAA announce continuation of IARD system fee waiver
NASAA to cut system fees paid by investment advisor reps
- By: IE Staff
- October 27, 2006 October 27, 2006
- 10:10