IDA fines former CFG rep $30,000
Kim handed six-month suspension
- By: IE Staff
- March 2, 2006 March 2, 2006
- 12:15
Latest news in From the Regulators
Regulators seek comment on revised trade matching rule
Changes designed to ensure timely settlement of institutional trades
- By: James Langton
- March 2, 2006 March 2, 2006
- 10:45
OSC approves settlement with Newbury
Geological consultant had traded OntZinc shares in advance of acquisition disclosure
- By: IE Staff
- February 28, 2006 February 28, 2006
- 10:30
SEC applauds accounting standards action plan
Regulator working towards elimination of reconciliation of international financial reporting standards with U.S. GAAP
- By: James Langton
- February 28, 2006 February 28, 2006
- 08:20
Regulators approve changes to MDFA rules
Amendments clarify conflict of interest guidelines
- By: James Langton
- February 27, 2006 February 27, 2006
- 16:40
SEC chairman unaware of subpoenaed notes
The U.S. Securities and Exchange Commission indicated in a statement today that senior officials at the commission didn’t know that the agency had subpoenaed two…
- By: IE Staff
- February 27, 2006 February 27, 2006
- 14:30
OSC proposes changes to proficiency rules
The Ontario Securities Commission is proposing an amendment to the proficiency rules that would remove limits on the number of “restricted representatives” an investment dealer…
- By: James Langton
- February 27, 2006 February 27, 2006
- 08:35
Consider principles-based regulation: OSC chairman
Wilson speaks at Securities Superconference
- By: James Langton
- February 23, 2006 February 23, 2006
- 17:15
Quebec regulator suspends Champoux Froment
The Autorité des marchés financiers says it has suspended the registration of Champoux, Froment et associés inc. The AMF says that it made the move…
- By: James Langton
- February 23, 2006 February 23, 2006
- 17:00
Defendants settle in U.S. earnings scheme
Case goes back to manipulative accounting by Xerox in 1997-2000
- By: James Langton
- February 22, 2006 February 22, 2006
- 14:32
New law for Ontario mortgage brokers
Act aims to modernize regulation
- By: James Langton
- February 20, 2006 February 20, 2006
- 16:12
B.C. man ordered out of capital markets
Fined $5,000
- By: IE Staff
- February 20, 2006 February 20, 2006
- 10:26
OSC extends Fulcrum allegations
Reindorf, Dziadecki named by regulator
- By: IE Staff
- February 19, 2006 February 19, 2006
- 18:10
Room for improvement at OSFI: report
The Office of the Superintendent of Financial Institutions is doing a good job overall, but there is room for improvement, according to a report published…
- By: James Langton
- February 19, 2006 February 19, 2006
- 16:48
Quebec man convicted of selling securities without registration
Valade fined $30,000
- By: IE Staff
- February 17, 2006 February 17, 2006
- 16:45
CSA spells out its mission
New report outlines how Canadian Securities Administrators functions
- By: IE Staff
- February 17, 2006 February 17, 2006
- 13:40
NASAA lists common investor traps
The North American Securities Administrators Association today outlined a forecast of the 13 most common ways investors are likely to be trapped in 2006.NASAA’s “Unlucky…
- By: James Langton
- February 16, 2006 February 16, 2006
- 16:30
U.S. regulators plan SOX roundtable
Issuers and auditors to discuss internal control reporting
- By: James Langton
- February 16, 2006 February 16, 2006
- 15:50
Pension plans facing solvency challenge, Le Pan says
OSFI head laments “new rule overload”
- By: IE Staff
- February 16, 2006 February 16, 2006
- 15:30
NYSE censures Deutsche Bank Securities
NYSE censures Deutsche Bank Securities
- By: James Langton
- February 15, 2006 February 15, 2006
- 10:45
SEC cracks down on late filers
Revokes the registration of 25 issuers
- By: James Langton
- February 15, 2006 February 15, 2006
- 10:30
NASD settles with U.S. over market timing charges
Diversified Investors fined US$1.3 million
- By: James Langton
- February 14, 2006 February 14, 2006
- 16:40
SEC alleges manager overstated value of portfolio
Fines woman US$15,000
- By: IE Staff
- February 14, 2006 February 14, 2006
- 16:35
Quebec regulators freeze Tremblay funds
$1.3 million in frozen assets
- By: James Langton
- February 13, 2006 February 13, 2006
- 16:50