Morgan Keegan fined for alleged late trading
Dealer ordered to pay $US100,000 penalty
- By: James Langton
- February 8, 2006 February 8, 2006
- 16:45
Latest news in From the Regulators
NASD fines dealer, research analyst
Sanford Bernstein violated analyst conflict of interest rules
- By: James Langton
- February 8, 2006 February 8, 2006
- 13:30
BCSC voluntary settlements can exceed order penalties
Court rules in regulator's favour
- By: James Langton
- February 7, 2006 February 7, 2006
- 16:30
EU unveils plans for increased investor protection and transparency in financial markets
Proposals move towards establishing single market
- By: James Langton
- February 7, 2006 February 7, 2006
- 10:55
ASC fines Ranchgate insider
Gorrie given one-year ban for illegal insider trading
- By: IE Staff
- February 6, 2006 February 6, 2006
- 14:30
IDA permanently bans Toronto broker for defrauding clients
Hart facing criminal charges
- By: IE Staff
- February 6, 2006 February 6, 2006
- 14:10
U.S. executives barred for market timing
SEC alleges National Clearing officers deceived fund companies
- By: James Langton
- February 3, 2006 February 3, 2006
- 16:10
CDS proposed changes to U.S. short-selling rules
Amendments aim to increase compliance with Regulation SHO
- By: James Langton
- February 3, 2006 February 3, 2006
- 15:50
Investors Group fined by New Brunswick regulator
Dealer used non-registered salespersons
- By: James Langton
- February 3, 2006 February 3, 2006
- 08:30
Former AIG, General Re executives facing lawsuit
SEC alleges five men helped AIG mislead investors
- By: IE Staff
- February 2, 2006 February 2, 2006
- 13:50
Market timing kept regulators busy in 2005
CSA issues report on enforcement activities
- By: James Walker
- February 2, 2006 February 2, 2006
- 13:40
IDA approves committee by-law amendments
Board gains ability to create new standing committees
- By: James Langton
- February 1, 2006 February 1, 2006
- 16:40
NYSE Regulation announces US$5.85 million “blue sheet” settlement
20 firms fined for operational failures and supervisory violations
- By: James Langton
- January 31, 2006 January 31, 2006
- 11:30
MFDA begins second round of compliance reviews
The Mutual Fund Dealers Association has issued a bulletin to advise its members that its staff have commenced the second round of compliance examinations. These…
- By: James Langton
- January 30, 2006 January 30, 2006
- 08:55
OSC approves minimum standards for institutional accounts
The Ontario Securities Commission has approved a proposed policy of the Investment Dealers Association of Canada regarding minimum standards for institutional account opening, operation and…
- By: James Langton
- January 27, 2006 January 27, 2006
- 16:50
CSA provides guidance on mobility exemptions
Exemption triggered when a client relocates
- By: James Langton
- January 27, 2006 January 27, 2006
- 16:35
CNQ announces repeal of Rule 10-105
Risk disclosure statements no longer required
- By: IE Staff
- January 27, 2006 January 27, 2006
- 15:35
Quebec dealer fined for capital shortfall
Kaufmann also missed deadline for NRD enrolment
- By: IE Staff
- January 27, 2006 January 27, 2006
- 09:35
ASC fines salesman $55,000
Park illegally distributed securities worth $8.5 million
- By: IE Staff
- January 24, 2006 January 24, 2006
- 13:10
UK institutions to rely more on independent research: report
New rules on commission arrangements bring about changes
- By: James Langton
- January 24, 2006 January 24, 2006
- 10:15
U.S. regulators seek comment on proposed changes to business entertainment rule requirements
NASD, NYSE working together to develop a consistent approach
- By: James Langton
- January 23, 2006 January 23, 2006
- 17:15
Rampart reps banned for roles in securities scheme
Fines total $625,000
- By: IE Staff
- January 23, 2006 January 23, 2006
- 17:01
AMF to end 15% fee reduction
Filing fees to rise March 1
- By: James Langton
- January 23, 2006 January 23, 2006
- 08:25
Quebec trio found guilty of violating securities laws
Ducharme fined $30,000 for selling securities without being registered
- By: James Langton
- January 20, 2006 January 20, 2006
- 16:10
MFDA issues update on anti-money laundering rules
FINTRAC clarifies identity verification requirements
- By: James Langton
- January 20, 2006 January 20, 2006
- 15:45