Stockbrokers settle with BSCS
Union Securities reps breached “know your client” obligations
- By: IE Staff
- May 18, 2006 May 18, 2006
- 07:30
Latest news in From the Regulators
Nevada court orders Canadian accountant to pay US$25,000 penalty
Duggan consented to judgment in stock manipulation scheme
- By: James Langton
- May 17, 2006 May 17, 2006
- 08:10
Merger with MFDA inevitable, IDA chief says
IDA panels to provide investor restitution
- By: James Walker
- May 16, 2006 May 16, 2006
- 14:40
IDA expels Resolution Capital
AMF revokes dealer’s registration
- By: IE Staff
- May 16, 2006 May 16, 2006
- 14:20
IDA switching to guidelines for new client application forms
Standardized forms have become outdated, IDA says
- By: IE Staff
- May 15, 2006 May 15, 2006
- 07:10
OSFI, life insurers working to develop more advanced risk measurement techniques
MCCSR advisory committee plans to develop and recommend changes to the current capital framework
- By: James Langton
- May 15, 2006 May 15, 2006
- 07:10
SEC announces new charges against insider trading ring
Defendants traded on information from secret grand jury proceedings
- By: IE Staff
- May 11, 2006 May 11, 2006
- 15:15
IDA fines Edmonton broker $25,000
Former DS rep traded without client’s consent
- By: IE Staff
- May 11, 2006 May 11, 2006
- 11:25
OSC accuses former Imax official of insider trading
Regulator alleges Kader lied to investigators
- By: IE Staff
- May 11, 2006 May 11, 2006
- 09:30
Morgan Stanley settles with SEC
Firm to pay US$15 million for failing to produce e-mail
- By: James Langton
- May 10, 2006 May 10, 2006
- 15:10
IDA panel finds two Berkshire reps guilty
Sudbury pair misrepresented cost of advertising campaigns
- May 10, 2006 May 10, 2006
- 13:10
U.S. regulators seek comment on complex structured finance transactions
Comments on revised statement due within 30 days
- By: James Langton
- May 9, 2006 May 9, 2006
- 15:50
NYSE Regulation bars three former specialists
Labranche traders censured
- By: IE Staff
- May 9, 2006 May 9, 2006
- 09:10
SEC, NASAA launch program to protect senior investors
Initiative includes aggressive enforcement, targeted examinations, and investor education and outreach programs
- By: James Langton
- May 8, 2006 May 8, 2006
- 14:55
IDA board approves changes for trading in wholesale domestic debt markets
Policy made consistent with other regulations
- By: James Langton
- May 8, 2006 May 8, 2006
- 14:55
Ease internal control report rules, U.S. GAO says
SOX exemption for small companies not the way to proceed
- By: James Langton
- May 8, 2006 May 8, 2006
- 14:50
IDA suspends TD securities portfolio manager
Tobin fined $63,000
- By: IE Staff
- May 8, 2006 May 8, 2006
- 09:35
Bank of Canada official calls for uniform securities regulations
Regulators can increase efficiency, Canadian economy will flourish further with this measure
- By: James Langton
- May 8, 2006 May 8, 2006
- 07:25
Crawford Panel releases results of stakeholder input
Results obtained during a series of regional roundtables held earlier this year
- By: IE Staff
- May 4, 2006 May 4, 2006
- 12:54
Changes to Saskatchewan securities rule take effect June 1
The Saskatchewan Financial Services Commission reports that its Securities Amendment Act 2005 comes into force on June 1.The act will implement provisions to allow it…
- By: James Langton
- May 4, 2006 May 4, 2006
- 08:10
Alberta pension consultation draws 1,420 comments
Summary of comments released by Alberta Finance
- By: James Langton
- May 3, 2006 May 3, 2006
- 16:15
U.S., Chinese regulators to increase co-operation
SEC, CSRC announce terms for enhanced dialogue
- By: James Langton
- May 3, 2006 May 3, 2006
- 10:35
SEC cuts registration and transaction fees
Reduction will save companies US$1 billion
- By: James Langton
- May 3, 2006 May 3, 2006
- 09:10
CSA seeks comments on proposed national rule
New regulation would consolidate and harmonize takeover and issuer bid regime across Canada
- By: James Langton
- May 1, 2006 May 1, 2006
- 07:15