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
Latest news in From the Regulators
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
Rankin sentencing adjourned until October 27
Regulator seeking jail term of three to five years
- By: IE Staff
- October 20, 2005 October 20, 2005
- 07:50
Firms not required to report reps on short-term disability
Absent supervisors must be reported, regulators say
- By: James Langton
- October 19, 2005 October 19, 2005
- 15:30
RS fines two Dundee Securities supervisors
Pair failed to fully investigate manipulative trading practices
- By: IE Staff
- October 19, 2005 October 19, 2005
- 13:40
NASD fines Green Street US$150,000 for issuing research reports prepared by unregistered analysts
Analysts issued over 120 reports before taking and passing qualifying exams
- By: James Langton
- October 19, 2005 October 19, 2005
- 10:30
OSC to hold hearing into RRSP/loan scheme
Ochnik offered investors non-repayable loan if they collapsed their RRSPs
- By: IE Staff
- October 18, 2005 October 18, 2005
- 14:15
SEC settles with electronic exchanges
Instinet and Inet repeatedly published inaccurate monthly execution reports
- By: James Langton
- October 18, 2005 October 18, 2005
- 11:15
Ontario bars B.C. man from securities business
Court hands Eron Mortgage salesman three-year prison term
- By: IE Staff
- October 18, 2005 October 18, 2005
- 10:45
IDA imposes $30,000 fine on former Edward Jones rep
Petrossian handed 12-month suspension
- By: IE Staff
- October 17, 2005 October 17, 2005
- 14:15
ASC alleges Strategic Metals raised $36 million illegally
Regulators say $26.5 million moved offshore
- By: IE Staff
- October 17, 2005 October 17, 2005
- 12:55
Norbourg bankruptcy an obstacle, AMF admits
Says Lacroix has never co-operated with regulators
- By: James Langton
- October 17, 2005 October 17, 2005
- 07:35
OSC dismisses insider trading charges against ATI chairman
No evidence Ho knew ATI would fail to meet earnings forecasts
- By: IE Staff
- October 17, 2005 October 17, 2005
- 07:30
Regulators to share information on international financial reporting standards
Database will be ready by the second half of 2006
- By: James Langton
- October 14, 2005 October 14, 2005
- 14:30
IOSCO report outlines disclosure principles for international debt offerings
Regulators responding to increased volume of offerings
- By: James Langton
- October 14, 2005 October 14, 2005
- 14:08
Ontario men sold shares without being registered
The Ontario Securities Commission found that four men violated securities laws by selling shares in Andromeda Media Capital Corp. with out being registered.In a decision…
- By: IE Staff
- October 13, 2005 October 13, 2005
- 15:30
OSC extends schedule for forum on market structure developments
The public forum organized by the Ontario Securities Commission to solicit discussion on the Canadian Securities Administrators’ discussion paper on market structure developments and trade-through…
- By: IE Staff
- October 13, 2005 October 13, 2005
- 08:15