SEC sanctions IFMG Securities
Firm failed to adequately disclose mutual fund and insurance information to customers
- By: James Langton
- July 13, 2006 July 13, 2006
- 15:35
Latest news in From the Regulators
NASD warns of Web-site related stock scams
Various investment pitches are referencing “official” Web sites that are fake
- By: James Langton
- July 11, 2006 July 11, 2006
- 15:22
SEC releases concept paper on Sarbanes-Oxley 404
The release seeks feedback on key topics and on whether guidance should be provided in other areas
- By: James Langton
- July 11, 2006 July 11, 2006
- 14:21
MFDA mulling over exemptions to “Commigling Prohibition”
Will provide exemptive relief to all level 3 and 4 dealers
- By: James Langton
- July 11, 2006 July 11, 2006
- 07:20
NYSE Regulation fines specialist firm US$3.5 million for stock loan violations
NYSE Regulation Inc. announced today that it has censured and fined Van der Moolen Specialists USA LLC US$3.5 million for the misconduct of its stock…
- By: James Langton
- July 10, 2006 July 10, 2006
- 09:10
CSA educates investors about risks of principal-protected notes
The Canadian Securities Administrators on Friday issued a notice to investors concerning principal-protected notes (PPNs). The notice spells out some of the features and risks…
- By: James Langton
- July 10, 2006 July 10, 2006
- 07:20
ECB evaluating opportunities to provide settlement services for securities transactions
Objective is to allow the harmonized settlement of securities transactions in euros
- By: James Langton
- July 7, 2006 July 7, 2006
- 09:50
AMF seeking to dismiss Norbourg class action suit filed by sales reps
Top priority is to maximize funds distributed to defrauded investors without delay, regulator says
- By: James Langton
- July 7, 2006 July 7, 2006
- 09:35
Standard Securities Capital agrees to pay $80,000 fine in settlement with RS
Firm failed to implement proper trade supervision and compliance policies
- By: IE Staff
- July 6, 2006 July 6, 2006
- 15:30
MFDA clarifies rules on undivided interests in land
Questions raised about treatment under securities legislation
- By: James Langton
- July 6, 2006 July 6, 2006
- 15:25
TD Securities fined $350,000 by RS
Firm failed to transmit CNQ orders from TD Waterhouse
- By: IE Staff
- July 5, 2006 July 5, 2006
- 15:25
RS sanctions Raymond James and trade supervisor
Firm order to pay $425,000; Deslongchamps fined $50,000
- By: IE Staff
- July 5, 2006 July 5, 2006
- 15:13
Former fund manager settles with BCSC
Sagit’s Tsakok to pay $50,000
- By: IE Staff
- July 5, 2006 July 5, 2006
- 11:45
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