Ontario salesman misappropriated client funds, says MFDA
PFSL rep facing disciplinary proceedings
- By: IE Staff
- December 22, 2005 December 22, 2005
- 14:20
Latest news in From the Regulators
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
Equisure settles with AMF
Equisure Financial Network Inc. today announced an agreement with the Autorité des marchés financiers that will conclude an enquiry, begun last March, into the business…
- By: IE Staff
- December 16, 2005 December 16, 2005
- 12:45
Mining company insider banned from securities market
Former China Diamond director fined $25,000 by BCSC
- By: IE Staff
- December 16, 2005 December 16, 2005
- 09:55
Securities heads discuss financial reporting standards
U.S., European chairmen express support for continued collaboration
- By: James Langton
- December 15, 2005 December 15, 2005
- 16:30
Alberta man convicted of violating ASC order
Archer placed under house arrest
- By: IE Staff
- December 15, 2005 December 15, 2005
- 12:30
Ontario strengthens investor protection
The Ontario legislature today passed Bill 18 which includes a number of measures that aim to strengthen investor protection and update the securities regulatory framework,…
- By: James Langton
- December 14, 2005 December 14, 2005
- 17:35
SEC seeks comment on best-price rule
Rule would ensure all shareholders are paid the same consideration
- By: James Langton
- December 14, 2005 December 14, 2005
- 17:15
RS sanctions former Dundee trader
Order entry breached principles of trade
- By: IE Staff
- December 14, 2005 December 14, 2005
- 14:30
IDA fines Calgary broker $10,000
Canaccord rep forged client’s signature
- By: IE Staff
- December 13, 2005 December 13, 2005
- 13:55
Chicago dealer fined for failing to enforce trading limits
Deceptive market timing “unfair and harmful” to mutual fund shareholders
- By: James Langton
- December 13, 2005 December 13, 2005
- 12:55
Warning over new “pump and dump” scheme
Text messages being used to hype stocks, warns NASD
- By: James Langton
- December 13, 2005 December 13, 2005
- 12:45
Regulators issue new guidance on continuous disclosure for smaller firms
CSA notice summarizes most common deficiencies
- By: IE Staff
- December 13, 2005 December 13, 2005
- 10:10
Regulators issue warning to seniors
Credentials of “senior specialists” may be suspect
- By: James Langton
- December 12, 2005 December 12, 2005
- 16:20
CIBC World Markets settles with SEC
Dealer fined for violating rules on political contributions
- By: James Langton
- December 12, 2005 December 12, 2005
- 15:35
CSA finds problems with continuous disclosure
Highlights common deficiencies among small issuers
- By: James Langton
- December 9, 2005 December 9, 2005
- 17:20