Regulators issue warning to seniors
Credentials of “senior specialists” may be suspect
- By: James Langton
- December 12, 2005 December 12, 2005
- 16:20
Latest news in From the Regulators
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
AMF lays insider trading charges
Begins proceedings against Ressouces Allican director
- By: James Langton
- December 9, 2005 December 9, 2005
- 10:25
Crawford Panel proposes new model for a single regulator
Council of Ministers would select board of directors, vote on rules
- By: James Langton
- December 7, 2005 December 7, 2005
- 16:10
Saskatchewan postpones deposit agent regulation
Rule would require intermediaries who trade in GICs to be registered
- By: James Langton
- December 6, 2005 December 6, 2005
- 17:10
ASC extends denial of exemptions order against Arbour Energy
Regulators allege misleading documents used to solicit investments
- By: IE Staff
- December 6, 2005 December 6, 2005
- 12:55
RS picks academic to join Rules Advisory Committee
Concordia prof to represent retail investor perspective
- By: IE Staff
- December 5, 2005 December 5, 2005
- 14:45
EU unveils five-year financial services strategy
The European Commission today presented its new financial services strategy for the next five years, calling for greater convergence in rules and more competition, particularly…
- By: James Langton
- December 5, 2005 December 5, 2005
- 12:35
Securities regulators to make SEDI more user friendly
Users encouraged to participate in survey
- By: IE Staff
- December 5, 2005 December 5, 2005
- 10:20
New model for single securities regulator
Ontario panel to reveal plan
- By: James Langton
- December 2, 2005 December 2, 2005
- 14:35
Quebec regulator receives bids for iForum Securities
IDA suspends securities firm
- By: James Langton
- December 2, 2005 December 2, 2005
- 12:50
FSA sets out road map for principals-based regulation
UK regulator unveils action plan
- By: James Langton
- December 2, 2005 December 2, 2005
- 10:20
EU and U.S. set priorities for future cooperation on financial markets regulation
Regulators pledge to work together to find common solutions
- By: James Langton
- December 2, 2005 December 2, 2005
- 10:10
NYSE Regulation introduces new arbitrator selection procedure
Random, computerized selection process gains approval
- By: IE Staff
- December 1, 2005 December 1, 2005
- 16:45
Ontario proposes Securities Transfer Act
Bill brings security transfer rules into electronic age
- By: James Langton
- December 1, 2005 December 1, 2005
- 16:15
Hedge fund settles market-timing case
Millennium Partners to pay $US121.4 million
- By: James Langton
- December 1, 2005 December 1, 2005
- 12:50
Mutual funds salesperson settles with BCSC
Foresight Capital rep breached know your client and suitability rules
- By: IE Staff
- December 1, 2005 December 1, 2005
- 11:20
Minneapolis investment firm settles with regulators
Ameriprise fined for market timing, directed brokerage violations
- By: James Langton
- December 1, 2005 December 1, 2005
- 11:20
Basel Committee issues guidance on credit risk assessment and valuation for loans
OSFI encourages banks to review paper
- By: James Langton
- November 30, 2005 November 30, 2005
- 11:45
Former Philip Services officer settles with OSC
The first former executive of Philip Services Corp. has settled with the Ontario Securities Commission, agreeing to pay costs of $50,000 and testify against other…
- By: IE Staff
- November 30, 2005 November 30, 2005
- 08:20
SEC proposes new proxy delivery rule
The U.S. Securities and Exchange Commission voted to propose rules that would allow companies to use the Internet to satisfy proxy material delivery requirements.Under current…
- By: James Langton
- November 29, 2005 November 29, 2005
- 16:10
NASD charges Kirlin with manipulating stock
Brokerage engaged in scheme to avoid delisting of parent company
- By: James Langton
- November 29, 2005 November 29, 2005
- 12:10
Ottawa passes legislation protecting bankrupt RRSP holders from creditors
Legislation will not come into force until mid-2006 to allow Senate to make further amendments
- By: Stewart Lewis
- November 29, 2005 November 29, 2005
- 11:25
OSC announces membership of Investor Advisory Committee
Members to serve two-year terms
- By: IE Staff
- November 29, 2005 November 29, 2005
- 11:20