NYSE fines RBC Capital Markets US$80,000
Firm broke proxy-handling rules
- By: James Langton
- August 9, 2006 August 9, 2006
- 10:30
Latest news in From the Regulators
NYSE Regulation approves new arbitration process
Now, claims less than US$200,000 will be decided by a single public arbitrator
- By: James Langton
- August 8, 2006 August 8, 2006
- 10:46
OSC orders changes in bid for Sears Canada
Takeover bid by Sears Holdings halted
- By: IE Staff
- August 8, 2006 August 8, 2006
- 10:30
NYSE Regulation fines A.G. Edwards & Sons
The firm charged excessive fees and improperly maintained customers in non-managed fee-based accounts
- By: James Langton
- August 8, 2006 August 8, 2006
- 10:18
SEC gives up on proposed hedge fund registration rule
But U.S. regulator is moving forward on new proposals, including a new anti-fraud rule
- By: James Langton
- August 8, 2006 August 8, 2006
- 10:11
Martha Stewart, broker settle with SEC
Stewart also agrees to five-year ban from serving as a director of a public company
- By: James Langton
- August 8, 2006 August 8, 2006
- 10:00
Income trusts must improve disclosure, CSA says
Distributable cash disclosure in Management’s Discussion and Analysis, in particular, needs improvement
- By: James Langton
- August 7, 2006 August 7, 2006
- 15:20
BCSC dismisses sanctions application
Insufficient evidence to prove allegations against B.C. businessman Daryl Desjardins
- By: IE Staff
- August 4, 2006 August 4, 2006
- 09:11
NASD fines BRUT LLC for rule violations
BRUT published order execution reports with critical errors for almost five years
- By: James Langton
- August 3, 2006 August 3, 2006
- 15:30
CRA, IRS unravel cross-border tax scheme
Investors purchased high-yield, offshore investments using allegedly tax free cash or proceeds from withdrawals of retirement funds
- By: IE Staff
- August 3, 2006 August 3, 2006
- 11:09
ASC publishes proposed amendments for new civil liability regime
Legislation is expected to take effect at yearend
- By: James Langton
- August 2, 2006 August 2, 2006
- 15:34
Cross-Atlantic financial reporting en route to becoming a reality
SEC, CESR joint plan will be implemented immediately
- By: James Langton
- August 2, 2006 August 2, 2006
- 15:09
SEC to conduct major study to compare different regulatory systems
RFP has been issued to conduct the first stage of the study
- By: James Langton
- August 2, 2006 August 2, 2006
- 12:23
Biovail chairman facing OSC probe
Regulator alleges Melnyk failed to file proper insider trading reports
- By: IE Staff
- August 1, 2006 August 1, 2006
- 07:30
CSA develops governance regime for investment funds
New rule requires fund managers to oversee all decisions involving conflicts of interest
- By: IE Staff
- July 30, 2006 July 30, 2006
- 21:20
MFDA board approves amendments to risk adjusted capital rules
Dealers will be required to maintain positive financial statement capital
- By: James Langton
- July 30, 2006 July 30, 2006
- 21:15
SIA files suit regarding Utah settlement and clearing law
Association seeking to overturn short selling legislation
- By: James Langton
- July 30, 2006 July 30, 2006
- 21:10
SEC changes executive and director compensation disclosure rules
No issue in SEC history has attracted this much attention, chairman says
- By: James Langton
- July 26, 2006 July 26, 2006
- 15:33
B.C. man reaches settlement with regulator
Insider failed to file reports and operated nominee accounts wrongfully
- By: IE Staff
- July 26, 2006 July 26, 2006
- 09:42
SEC chief concerned over increasing retail participation in hedge funds
“Not investments for Mom and Pop”, Cox says
- July 26, 2006 July 26, 2006
- 07:25
Regulators outline progress in dealing with investor complaints
Still much work to do, report says
- By: James Langton
- July 25, 2006 July 25, 2006
- 11:15
IDA imposes permanent ban on Quebec options rep
Guilbault fined $35,000
- By: IE Staff
- July 24, 2006 July 24, 2006
- 15:55
IDA disciplines Scotia Capital manager for failure to supervise
Racine fined $30,000
- By: IE Staff
- July 24, 2006 July 24, 2006
- 15:55
MFDA fines man $35,000 for misappropriating client funds
Sandink handed permanent ban
- By: IE Staff
- July 24, 2006 July 24, 2006
- 15:30
Waddell & Reed to pay US$50 million in investor restitution
Firm settles marketing timing charges with U.S. regulators
- By: James Langton
- July 24, 2006 July 24, 2006
- 14:45