OSC issues guidance on selling model portfolios of mutual funds
Fund dealer considered to be providing discretionary management
- By: James Langton
- May 26, 2006 May 26, 2006
- 14:55
Latest news in From the Regulators
OSC CD advisory committee seeking new members
Applications are due by June 30
- By: James Langton
- May 26, 2006 May 26, 2006
- 14:50
Investor protection association supports action launched by AMF against Norbourg
MEDAC recommends co-operation with AMF
- By: IE Staff
- May 26, 2006 May 26, 2006
- 11:50
AMF proposes new regulatory framework for derivatives trading
Proposed Derivatives Act would be based on core principles
- By: James Langton
- May 26, 2006 May 26, 2006
- 11:40
OSFI appoints independent members to its audit committee
Four new members join committee
- By: IE Staff
- May 26, 2006 May 26, 2006
- 11:30
AMF to revise capital adequacy requirements
Changes reflect Base II
- By: James Langton
- May 25, 2006 May 25, 2006
- 13:40
IDA fines MGI Securities $250,000
CEO Gordon fined $150,000 and ordered never to supervise again
- By: IE Staff
- May 25, 2006 May 25, 2006
- 10:30
IDA seeks input on Fair Dealing Model
Advisor meetings scheduled for August 16
- By: James Langton
- May 24, 2006 May 24, 2006
- 15:45
N.B. regulator launches investment fraud hotline
Investors urged not to let embarrassment prevent reporting of fraud or abuse
- By: James Langton
- May 24, 2006 May 24, 2006
- 08:15
NYSE Regulation fines Lehman Brothers US$400,000 for inaccurate reporting
Firm failed to update its systems for determining its short-interest position
- By: James Langton
- May 23, 2006 May 23, 2006
- 09:20
IDA proposes change to corporate governance
IDA board would be made up of equal numbers of industry and public directors
- By: James Langton
- May 19, 2006 May 19, 2006
- 15:15
SEC extends compliances dates for NMS initiatives
The U.S. Securities and Exchange Commission today extended the compliance dates for a series of initiatives designed to modernize and strengthen the national market system…
- By: James Langton
- May 18, 2006 May 18, 2006
- 16:16
SEC to improve SOX internal control reporting requirements
Regulator will issue guidelines for companies
- By: James Langton
- May 18, 2006 May 18, 2006
- 08:25
Stockbrokers settle with BSCS
Union Securities reps breached “know your client” obligations
- By: IE Staff
- May 18, 2006 May 18, 2006
- 07:30
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