U.S. regulator investigating possible SRO for futures industry
CFTC seeking public comment on range of SRO issues
- By: James Langton
- November 21, 2005 November 21, 2005
- 16:35
Latest news in From the Regulators
OSC settles with former Findore officers, brokers
Former president made hundreds of trades in company’s shares
- By: IE Staff
- November 21, 2005 November 21, 2005
- 15:20
Former Edward Jones handed $30,000 fine
IDA imposes one year suspension
- By: IE Staff
- November 21, 2005 November 21, 2005
- 12:30
IDA imposes five-year ban on Octagon rep
Leung fined $100,000 for involvement in RRSP scheme
- By: IE Staff
- November 21, 2005 November 21, 2005
- 10:50
Bill 18 proposes additional powers for OSC
Regulator would get authority to make corporate governance rules
- By: James Langton
- November 18, 2005 November 18, 2005
- 15:40
Passport model to be strengthened: report
Securities regulators issue update on harmonization process
- By: James Langton
- November 17, 2005 November 17, 2005
- 16:40
Black indicted on criminal fraud charges
Former Hollinger International CEO charged with cheating shareholders
- By: James Langton
- November 17, 2005 November 17, 2005
- 16:35
Securities regulators to host forum on naked short selling
The North American Securities Administrators Association Inc. today announced plans to host a public forum to explore possible market manipulation through naked short selling activity.Naked…
- By: James Langton
- November 17, 2005 November 17, 2005
- 16:10
Hedge funds the new frontier for regulators, says OSC chairman
The Ontario Securities Commission will be looking to step up the regulation of hedge funds, and protect the interests of small investors, said David Wilson…
- By: James Langton
- November 17, 2005 November 17, 2005
- 11:30
Court appoints receiver for @rgentum
A. John Page to take control of assets
- By: IE Staff
- November 16, 2005 November 16, 2005
- 16:45
AMF takes over administration of La Vigilance
Regulator concerned with insurer’s financial position
- By: James Langton
- November 16, 2005 November 16, 2005
- 12:55
NYSE Regulation fines Schwab US$1 million
Dealer failed to supervise and protect customer assets
- By: James Langton
- November 15, 2005 November 15, 2005
- 10:20
OSC launches webcast on prospectus and registration exemptions
Presentation explains changes to the exemption regime
- By: IE Staff
- November 14, 2005 November 14, 2005
- 13:30
Judge allows OSC to freeze Fraleigh’s accounts
Accounts at Dundee Securities frozen until March 31
- By: IE Staff
- November 14, 2005 November 14, 2005
- 12:30
TD Waterhouse settles with BCSC
Dealer violated cease trade orders
- By: IE Staff
- November 14, 2005 November 14, 2005
- 11:30
OSC to seek extension to Fraleigh account freeze
Investigation into trading of Place Dome securities continues
- By: IE Staff
- November 14, 2005 November 14, 2005
- 08:35
OSC names Melnyk in Biovail insider trading probe
Firm raises earnings outlook
- By: IE Staff
- November 14, 2005 November 14, 2005
- 08:30
Quebec regulators freeze assets of Mont Real Corp.
The Autorité des marchés financiers reports that, at its request, the Québec Finance Minister has appointed Jean Robillard of Raymond, Chabot, Grant, Thornton, as the…
- By: James Langton
- November 11, 2005 November 11, 2005
- 08:30
OSC charges former Agnico executive
Regulator alleges insider tipped acquaintance
- By: IE Staff
- November 10, 2005 November 10, 2005
- 17:35
Increase in expenses inflates ASC quarterly loss
Year to date revenues ahead of budget
- By: James Langton
- November 10, 2005 November 10, 2005
- 16:50
ASC chairman pays late-filing penalty
$1,000 fine for filing late insider trading report
- By: IE Staff
- November 10, 2005 November 10, 2005
- 11:25
OSC seeking penalties against Fulcrum executives
Regulator to hold hearing
- By: IE Staff
- November 10, 2005 November 10, 2005
- 10:40
OSC freezes more accounts
Regulator investigating Placer Dome trading
- By: IE Staff
- November 9, 2005 November 9, 2005
- 15:55
IDA expels Vancouver broker
Poor mental health led to unauthorized trades
- By: IE Staff
- November 9, 2005 November 9, 2005
- 13:35
OSC freezes account in Placer probe
Move follows U.S. asset freeze
- By: IE Staff
- November 8, 2005 November 8, 2005
- 08:40