NBSC approves settlement agreement
Advisor to pay a penalty of $10,000
- By: James Langton
- April 27, 2006 April 27, 2006
- 08:56
Latest news in From the Regulators
IDA and RS announce merger approval
New entity to provide stronger, streamlined regulation
- By: IE Staff
- April 26, 2006 April 26, 2006
- 14:07
ASC finds quality of financial reporting acceptable
Even though minor deficiencies still exist, they did not detract from reports’ overall acceptability
- By: James Langton
- April 26, 2006 April 26, 2006
- 13:05
SEC working to improve disclosure for individual investors, Cox tells Congress
In his congressional testimony today, US Securities and Exchange Commission chairman, Christopher Cox, talked about the initiatives and priorities underway at the SEC to improve…
- By: James Langton
- April 25, 2006 April 25, 2006
- 15:45
Alberta proposes to consolidate securities transfer laws
Legislation would establish rules for electronic transfer
- By: James Langton
- April 25, 2006 April 25, 2006
- 15:35
Smaller companies seeking relief from SOX
Advisory committee recommends proportional regulatory regime
- By: James Langton
- April 25, 2006 April 25, 2006
- 14:45
FSCO alerts consumers to potential scams
Web site offers protection tips
- By: IE Staff
- April 25, 2006 April 25, 2006
- 13:40
OSC lays more charges against Portus executives
Regulator alleges Manor failed to meet duties as fund manager
- By: IE Staff
- April 25, 2006 April 25, 2006
- 10:35
IDA dismisses charges against former DS rep
Vancouver woman did not know how to properly answer questions on registration application forms
- By: IE Staff
- April 24, 2006 April 24, 2006
- 13:20
CSA issues clarification on pre-marketing of bought deals
Prospectus exemption does not extend to optioned securities
- By: James Langton
- April 24, 2006 April 24, 2006
- 07:10
Canada steps up assistance to combat the financing of terrorism
Will provide over $2 million to enhance the anti-terrorist financing capacities of Caribbean and Asian countries
- By: IE Staff
- April 21, 2006 April 21, 2006
- 11:15
Union Securities reaches settlement with RS
Firm to pay $150,000 for trade supervision and audit trail deficiencies
- By: IE Staff
- April 19, 2006 April 19, 2006
- 16:52
SEC settles with Compushare Canada
Transfer agent approved to administer stock purchase plans
- By: James Langton
- April 19, 2006 April 19, 2006
- 08:30
RS suspends Research Capital advisor
Gregorian to pay $55,260 for deceptive trading
- By: IE Staff
- April 18, 2006 April 18, 2006
- 15:48
IDA fines Union Securities $1 million for failing to implement compliance system
Former compliance officer banned
- By: IE Staff
- April 18, 2006 April 18, 2006
- 13:38
Tyco settles accounting fraud charges with SEC
Agrees to pay US$50 million
- By: James Langton
- April 17, 2006 April 17, 2006
- 13:10
SEC tells staff to avoid issuing subpoenas to the media
Cites “freedom of the press” as vital in gathering and reporting the SEC’s functions
- By: James Langton
- April 12, 2006 April 12, 2006
- 16:35
FSCO plans to promote national approach to regulatory issues
Comments for the FSCO’s Statement of Priorities are due by June 5
- By: James Langton
- April 12, 2006 April 12, 2006
- 16:25
BCCI liquidators drop case against Bank of England
Publication of judgement ends brings litigation to an end
- By: James Langton
- April 12, 2006 April 12, 2006
- 09:45
B.C. Court of Appeal increases investor’s damage award
Increase of $168,500 calculated on performance of investments between September 1996 and September 1997
- By: James Langton
- April 11, 2006 April 11, 2006
- 15:24
SEC lays insider-trading charges in extensive international schemes
Individuals persuaded analyst to provide tips on upcoming mergers in exchange for profits
- By: James Langton
- April 11, 2006 April 11, 2006
- 12:16
Quebec regulators extend freeze order against Enviromondial
Freeze partially lifted for shareholder Brunet
- By: James Langton
- April 10, 2006 April 10, 2006
- 15:20
OSC allows certain CIBC mutual funds to engage in short selling
But numerous conditions apply in order for funds to short up to 10% of net assets
- By: James Langton
- April 10, 2006 April 10, 2006
- 07:25
CIBC World Markets traders fined
Trades created artificial price for Caribou Resources shares
- By: IE Staff
- April 7, 2006 April 7, 2006
- 10:45
B.C. Court of Appeal turns down attempt to appeal a BCSC order
Case concerned alleged conduct that was the subject of disciplinary hearings
- By: James Langton
- April 6, 2006 April 6, 2006
- 16:26