Former fund manager settles with BCSC
Sagit’s Tsakok to pay $50,000
- By: IE Staff
- July 5, 2006 July 5, 2006
- 11:45
Latest news in From the Regulators
Former fund manager settles with BCSC
Wachovia to pay US$25 million in conflict of interest settlement
Settlement brings multi-state investigation to a close
- By: James Langton
- July 5, 2006 July 5, 2006
- 10:40
AMF cracks down on four Quebec insurers
Companies facing charges for failing to file automotive insurance reports
- By: James Walker
- July 5, 2006 July 5, 2006
- 10:30
OSC refines priorities
Comments urge focus on retail complaints and restitution
- By: James Langton
- July 4, 2006 July 4, 2006
- 15:52
SEC approves Nasdaq Stock Market LLC as national exchange
Over-the-counter facility among endorsed changes
- By: James Langton
- July 4, 2006 July 4, 2006
- 10:43
NBSC issues trading bans against unregistered parties connected to Limelight Management Inc.
Fail to show at initial hearings
- By: James Langton
- July 4, 2006 July 4, 2006
- 10:35
AMF, FINTRAC to share compliance information
AMF plans to use information to fight money laundering and terrorist financing
- By: James Langton
- June 29, 2006 June 29, 2006
- 15:46
FSCO files charges against CCWI pension plan trustees
Alleged non-compliance relates to regulation regarding pension plan’s investment limits
- By: James Langton
- June 29, 2006 June 29, 2006
- 15:28
Canada’s securities regulators seek feedback on XBRL
CSA will email a copy of the notice and survey to all public companies in Canada
- By: IE Staff
- June 29, 2006 June 29, 2006
- 14:36
FSCO warns of unlicensed auto insurance sales in Ontario
Advertisements offered consumers six months free auto insurance and 50% savings
- By: James Langton
- June 28, 2006 June 28, 2006
- 15:52
OSC is effective, flexible and accountable, stakeholder study finds
About 60% of those surveyed believe the OSC is a strong enforcer of the rules and regulations that govern Ontario’s capital markets
- By: IE Staff
- June 28, 2006 June 28, 2006
- 13:49
Regulation costs and burdens possibly biggest issue of concern in Britain
Corporate finance, institutional fund management and investment and pension advice incurred the highest incremental regulatory costs
- By: James Langton
- June 28, 2006 June 28, 2006
- 09:05
IDA-RS merger plan to be finalized by early fall
IDA head also stresses merits of establishing national securities regulator
- By: James Langton
- June 27, 2006 June 27, 2006
- 14:51
SEC settles enforcement action against Morgan Stanley
Firm will pay $10 million penalty for failing to prevent the misuse of inside information
- By: James Langton
- June 27, 2006 June 27, 2006
- 14:42
Regulators aim to make market regulation more focused, efficient, effective
More generically written regulations that put the onus on registrants to act in the best interest of their clients are needed, says BCSC chairman
- By: Lara Hertel
- June 27, 2006 June 27, 2006
- 13:58
Quebec committed to passport model, Audet says
Finance minister gather in Niagara-on-the-Lake
- By: IE Staff
- June 26, 2006 June 26, 2006
- 16:20
ASC bans Ruge from Alberta capital markets until 2030
On June 16, the Alberta Securities Commission issued orders pursuant to the reciprocal enforcement section of the Alberta Securities Act against Michael Ernst Ruge and…
- By: IE Staff
- June 26, 2006 June 26, 2006
- 15:40
U.S. appeals court rejects SEC hedge-fund rule
Rule sent back for reconsideration
- By: IE Staff
- June 26, 2006 June 26, 2006
- 07:15
MFDA fines Ontario fund rep $35,000
Sandink misappropriated client funds
- By: IE Staff
- June 26, 2006 June 26, 2006
- 06:50
MFDA suspends three firms
Olympus United, iForum and Tandem Wealth
- By: James Langton
- June 23, 2006 June 23, 2006
- 15:40
AMF cracks down on alleged illegal distributions
Files charges against two firms
- By: James Langton
- June 22, 2006 June 22, 2006
- 15:45
MFDA amends conflicts of interest rule
Written disclosure must be provided to clients regarding potential conflicts that have been identified
- By: James Langton
- June 22, 2006 June 22, 2006
- 15:40
Banks granted status at OSC hearing on Sears Canada privatization
Hearing scheduled for July 5
- By: IE Staff
- June 22, 2006 June 22, 2006
- 07:30
Bennett Environmental agrees to review of disclosure practices
Company settles with OSC
- By: IE Staff
- June 20, 2006 June 20, 2006
- 14:50