Latest news in From the Regulators

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

FINTRAC finds $2 billion in suspicious transactions

142 cases forwarded to law enforcement security agencies

By: IE Staff
November 4, 2005 November 4, 2005
13:10

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

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