NASD charges A.B. Watley and two former brokers
Alleges facilitation of mutual fund late trading and market timing for hedge funds
- By: James Langton
- April 6, 2006 April 6, 2006
- 10:20
Latest news in From the Regulators
SEC, CFTC propose framework for trading futures on debt indeces
Joint rulemaking necessary because trading futures on debt indices is currently forbidden
- By: James Langton
- April 5, 2006 April 5, 2006
- 15:02
NYSE Regulation names board members
Jackson to serve as chairwoman
- By: James Langton
- April 5, 2006 April 5, 2006
- 11:20
NASD settles with AIG affiliate
American General Securities fined over US$1.1 million for directed brokerage violations
- By: James Langton
- April 5, 2006 April 5, 2006
- 11:10
BCSC warns investors about income trusts
Regulator issues investor alert
- By: IE Staff
- April 5, 2006 April 5, 2006
- 09:25
New B.C. securities legislation would enable adoption of passport model
Among other things, law would improve investor protection
- By: James Langton
- March 30, 2006 March 30, 2006
- 17:12
NSSC publishing proposed new rules for comment
Would-be rules would replace the ones set in 1988
- By: James Langton
- March 29, 2006 March 29, 2006
- 16:55
OFSI lays out priorities for next three years
Growing participation in foreign markets poses regulatory challenge
- By: James Langton
- March 29, 2006 March 29, 2006
- 16:50
17 firms join SEC interactive data pilot program
Companies agree to submit reports in XBRL format
- By: IE Staff
- March 29, 2006 March 29, 2006
- 14:15
OSC tells Nortel insiders to stop trading stock
The Ontario Securities Commission has ordered 189 officers, directors and other insiders of Nortel Networks to stop trading the company’s stock.The administrative order issued Monday…
- By: IE Staff
- March 28, 2006 March 28, 2006
- 08:35
AMF issues reminder on unclaimed mutual funds
Unclaimed property to be transferred to Curateur public
- By: IE Staff
- March 27, 2006 March 27, 2006
- 11:55
Alberta moves to enhance investor protection
Alberta has introduced legislation that it says enhances protection for investors and further harmonizes Alberta with Canadian capital markets by introducing civil liability for secondary…
- By: James Langton
- March 27, 2006 March 27, 2006
- 08:30
OSC outlines five key goals for 2006
Enforcement is regulator’s top priority
- By: James Langton
- March 27, 2006 March 27, 2006
- 08:25
RS panel to consider settlements with CIBC Wood Gundy reps
Hearing scheduled for Calgary
- By: IE Staff
- March 24, 2006 March 24, 2006
- 11:20
BCSC releases MFDA audit results
Regulator concludes 2005 oversight review
- By: IE Staff
- March 24, 2006 March 24, 2006
- 10:50
NSSC settles with former Knowledge House director
Colpitts failed to uncover improper trading by insiders
- By: James Langton
- March 23, 2006 March 23, 2006
- 16:40
Norbourg head accused of trying to bribe AFM employee
Regulator suspends eight employees
- By: James Langton
- March 23, 2006 March 23, 2006
- 10:35
FSA publishes feedback on hedge fund risks
Regulator to extend rage of retail investment products to include hedge funds
- By: IE Staff
- March 23, 2006 March 23, 2006
- 10:20
OECD calls for new approach to managing pension fund assets
Funds need more flexibility to make investment choices
- By: James Langton
- March 23, 2006 March 23, 2006
- 10:10
OSC issues warning on ‘double-dip’ investment schemes
Research is the best defence against fraud
- By: IE Staff
- March 22, 2006 March 22, 2006
- 11:30
WTO’s financial services negotiations progressing
Securities industry trade associations around the globe continue to push countries to liberalize trade in financial services trade under the auspices of the World Trade…
- By: James Langton
- March 21, 2006 March 21, 2006
- 16:45
IDA terminates LVM Canada’s membership
Quebec firm fined $13,921
- By: IE Staff
- March 21, 2006 March 21, 2006
- 14:45
SEC charges more traders in “squawk box” case
Traders accused of front-running institutional orders
- By: James Langton
- March 21, 2006 March 21, 2006
- 12:20
FSA proposes funding options for contingency funds
Discussion paper presents four options
- By: James Langton
- March 21, 2006 March 21, 2006
- 11:40
BCSC sanctions offshore companies
Corporate Express group illegally sold securities to B.C. investors
- By: IE Staff
- March 21, 2006 March 21, 2006
- 10:50