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
Latest news in From the Regulators
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
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
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