SEC settles market-timing charges with Security Brokerage
Calugar to pay US$50 million penalty
- By: IE Staff
- January 10, 2006 January 10, 2006
- 16:35
Latest news in From the Regulators
Compliance monitor completes assignment at Union Securities
Corporate governance concerns addressed, says IDA
- By: IE Staff
- January 10, 2006 January 10, 2006
- 16:20
EMS trading under investigation by OSC
Firm cooperating with regulators
- By: IE Staff
- January 10, 2006 January 10, 2006
- 15:10
Regulators weigh in on business continuity planning
Joint Forum issues set of guiding principles
- By: IE Staff
- January 10, 2006 January 10, 2006
- 10:50
RBC DS branch manager failed to supervise rep: IDA
Date for penalty hearing not yet scheduled
- By: IE Staff
- January 9, 2006 January 9, 2006
- 14:20
NASD charges Oppenheimer, firm’s CEO
Says firm knowingly produced inaccurate data in “breakpoint sweep”
- By: James Langton
- January 9, 2006 January 9, 2006
- 12:10
Quebec man fined for refusing to testify before AMF
Court finds Gaudreault guilty
- By: James Langton
- January 6, 2006 January 6, 2006
- 15:50
AMF to impose monetary penalties for late filings
Issuers, insiders subject to $5,000 maximum fine
- By: IE Staff
- January 5, 2006 January 5, 2006
- 15:40
SEC files charges against former Putnam Fiduciary officers
The U.S. Securities and Exchange Commission announced today that it filed charges against six former officers of Putnam Fiduciary Trust Company, a Boston-based registered transfer…
- By: IE Staff
- January 3, 2006 January 3, 2006
- 16:50
IDA bans former Assante rep for life
Imposes $275,000 fine
- By: IE Staff
- January 3, 2006 January 3, 2006
- 15:20
MFDA commences hearing against N.B. salesperson
Alleges former Investors Group rep misappropriated client funds
- By: IE Staff
- January 3, 2006 January 3, 2006
- 14:30
NASD warns of bird flu stock scam
Old “pump-and-dump” scheme in new garb
- By: James Langton
- January 3, 2006 January 3, 2006
- 10:50
RCMP investigating possible leak of income trust details
No evidence of wrongdoing, Mounties say
- By: IE Staff
- January 2, 2006 January 2, 2006
- 11:25
OSC files charges against Toronto man
Castaneda continued trading despite order to stop
- By: IE Staff
- December 22, 2005 December 22, 2005
- 15:10
OSC sanctions Ontario broker
The Ontario Securities Commission today released its decision and reasons for imposing sanctions on Ontario broker Brian Verbeek.Between August 2000 and July 2001, Verbeek, who…
- By: IE Staff
- December 22, 2005 December 22, 2005
- 14:40
Ontario salesman misappropriated client funds, says MFDA
PFSL rep facing disciplinary proceedings
- By: IE Staff
- December 22, 2005 December 22, 2005
- 14:20
IDA to file consumer complaints with Quebec regulators
Reports to be prepared semi-annually
- By: James Langton
- December 22, 2005 December 22, 2005
- 12:20
OSFI releases info on “standardized approach” to Basel capital rules
The Office of the Superintendent of Financial Institutions has published its criteria for banks that use the standardized approach to operational risk under the new…
- By: James Langton
- December 22, 2005 December 22, 2005
- 12:10
Quebec regulators issue update on Norbourg affair
Investor compensation fund logs more than 600 claims
- By: James Langton
- December 21, 2005 December 21, 2005
- 11:20
EU granted authority to negotiate international convention on holding securities
More and more securities are held and transferred internationally, but legal status differs across nations
- By: James Langton
- December 20, 2005 December 20, 2005
- 16:10
SEC head meets with software industry
Interactive data initiative aimed at giving investors better tools
- By: James Langton
- December 19, 2005 December 19, 2005
- 17:20
NASD fines firms US$19.4 million for improper sales of Class B and C mutual fund shares
The National Association of Securities Dealers announced today it has fined Merrill Lynch, Pierce, Fenner & Smith, Wells Fargo Investments and Linsco/Private Ledger Corp. a…
- By: IE Staff
- December 19, 2005 December 19, 2005
- 16:10
Big four accounting firms have more work to do, says CPAB
Independence, performance are areas of key concern: report
- By: James Langton
- December 19, 2005 December 19, 2005
- 11:18
OSC beefs up disclosure reviews in 2005
The Ontario Securities Commission’s corporate finance branch has issued a report detailing its findings in reviews of reporting issuers over the past year. “A key…
- By: James Langton
- December 19, 2005 December 19, 2005
- 08:25
CSA issues update on soft-dollar arrangements
Regulators aiming to publish proposed changes in first quarter of 2006
- By: James Langton
- December 16, 2005 December 16, 2005
- 16:20