SEC settles with Compushare Canada
Transfer agent approved to administer stock purchase plans
- By: James Langton
- April 19, 2006 April 19, 2006
- 08:30
Latest news in From the Regulators
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
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