B.C. woman admits to fraud
Investors lured to invest in non-existent company
- By: IE Staff
- November 4, 2005 November 4, 2005
- 11:15
Latest news in From the Regulators
SEC alleges illegal insider trading in Placer Dome bid
U.S. judge orders temporary asset freeze
- By: James Langton
- November 4, 2005 November 4, 2005
- 08:40
Fulcrum Financial hit with cease-trade order by OSC
Debentures promise annual return of up to 10.25%
- By: IE Staff
- November 4, 2005 November 4, 2005
- 08:30
NYSE fines Lehman for improper trading
December 2002 trades caused excess market volatility
- By: James Langton
- November 2, 2005 November 2, 2005
- 10:50
BCSC bans fromer Nano World head for 25 years
Papalia issued false and misleading news releases
- By: IE Staff
- November 1, 2005 November 1, 2005
- 17:30
Estonian bank illegally traded in advance of news releases, SEC alleges
Regulator says bank hacked into news release database
- By: James Langton
- November 1, 2005 November 1, 2005
- 16:25
Questions over another Quebec fund company
Provincial regulators raise concerns
- By: James Langton
- October 31, 2005 October 31, 2005
- 17:20
Know the products you’re selling, MFDA reminds reps
Dealers must perform reasonable level of due diligence on products prior to approval for sale, regulator says
- By: James Langton
- October 31, 2005 October 31, 2005
- 16:45
NASD sanctions firms for excessive markups on bond trades
RBC affiliates fined
- By: James Langton
- October 31, 2005 October 31, 2005
- 16:30
OSFI revises minimum continuing capital and surplus requirements for life insurers
Revisions include changes to the requirements for mortality and segregated fund guarantee risk
- By: James Langton
- October 31, 2005 October 31, 2005
- 13:20
OSC sharply trims costs in Donnini settlement
Regulator responds to court of appeal
- By: James Langton
- October 31, 2005 October 31, 2005
- 08:35
CDIC releases annual report
2005 brings positive Changes for consumers, members
- By: IE Staff
- October 28, 2005 October 28, 2005
- 13:40
Manitoba judge clears way for sale of assets of Crocus
Receiver can sell assets of LSIF
- By: IE Staff
- October 27, 2005 October 27, 2005
- 15:20
No evidence of unfair enforcement at ASC: report
Auditor General says regulator needs to clarify enforcement guidelines and policies
- By: IE Staff
- October 27, 2005 October 27, 2005
- 14:30
Rankin sentenced to six months in jail
Former RBC DS investment banker convicted on 10 counts of stock tipping
- By: IE Staff
- October 27, 2005 October 27, 2005
- 13:20
Mystery shoppers find banks in compliance with consumer protection laws
FCAC releases results of its second mystery-shopping exercise
- By: IE Staff
- October 26, 2005 October 26, 2005
- 13:20
IDA fines PEI rep $25,000 for misconduct
Sullivan facilitated a loan between clients and his son’s company
- By: IE Staff
- October 26, 2005 October 26, 2005
- 10:50
Israeli courts freeze assets of Portus founder
Manor blocked from leaving Israel
- By: IE Staff
- October 26, 2005 October 26, 2005
- 07:40
RS head urges corporate officers to co-operate with regulators
Written disclosure policies can help prevent problems
- By: James Langton
- October 25, 2005 October 25, 2005
- 15:20
AMF sues Norbourg founder for $94 million
The Autorité des marchés financiers yesterday launched a $94 million lawsuit against Vincent Lacroix, the founder of the Norbourg group of companies, accusing him of…
- By: IE Staff
- October 25, 2005 October 25, 2005
- 07:45
IDA expels Alberta rep
Johnson repeatedly borrowed money from clients
- By: IE Staff
- October 24, 2005 October 24, 2005
- 14:50
MFDA establishes committe to review Investor Protection Corp.
MacLaren to chair working group
- By: James Langton
- October 24, 2005 October 24, 2005
- 07:25
Regulators agree to invest SEDAR surpluses
Funds to be used for development, or fee reductions
- By: IE Staff
- October 24, 2005 October 24, 2005
- 07:20
MFDA bans former Cartier reps for their role in “Lech Investment”
Over $2 million went missing in investment scheme
- By: IE Staff
- October 21, 2005 October 21, 2005
- 13:20
Regulators streamline short form prospectus system
New rule effective December 30
- By: IE Staff
- October 21, 2005 October 21, 2005
- 11:20