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
Latest news in From the Regulators
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
IDA fines CIBC World Markets trader $10,000
A hearing panel of the Investment Dealers Association of Canada has fined Randal Jerome Hazen, an approved person with the Mississauga, Ont. branch office of…
- By: IE Staff
- July 24, 2006 July 24, 2006
- 10:40
NYSE Regulation fines four firms US$1.25 million
NYSE Regulation Inc. announced today that it has censured and fined four firms for violations of new short-selling rules.The regulator reported that it has sanctioned…
- By: James Langton
- July 24, 2006 July 24, 2006
- 09:20
CSA seeks comment on proposed “soft dollar” commissions rule
Regulators provide specific framework for the use of client brokerage commissions by advisors
- By: James Langton
- July 24, 2006 July 24, 2006
- 07:15
Sask. regulator to delay deposit agent rule
SFSC to review consultant’s report
- By: James Langton
- July 18, 2006 July 18, 2006
- 09:45
Nearly half of all complaints received by state securities regulators are made by seniors: study
Investment fraud among seniors could grow significantly, NASAA says
- By: James Langton
- July 17, 2006 July 17, 2006
- 15:45
NASD fines three firms US$775,000
Firms ignored warnings from NASD to cease violating analyst disclosure rules
- By: James Langton
- July 17, 2006 July 17, 2006
- 12:10
CSA looking for “information processor” firm for bond and equity markets
Regulators invite others to apply to fill role of CanPX
- By: James Langton
- July 17, 2006 July 17, 2006
- 07:15
Proposed CSA changes would enhance government bond market transparency
Dealers wold be required to report order information for designated benchmark government bonds to an information processor.
- By: James Langton
- July 17, 2006 July 17, 2006
- 07:10
CDS to start enforcing U.S. short-selling rule
Close-out requirements designed to address problems with failures to deliver
- By: James Langton
- July 14, 2006 July 14, 2006
- 15:35
Former PFSL salesman receives permanent ban
MFDA fines Ontario man $61,000
- By: IE Staff
- July 14, 2006 July 14, 2006
- 12:50
IDA rule book now available for downloading
Rule book will be updated once per month
- By: James Langton
- July 14, 2006 July 14, 2006
- 11:50
RS to study failed trades
Regulator proposes to select up to 25 firms to participate
- By: James Langton
- July 14, 2006 July 14, 2006
- 10:40