NYSE Regulation announces US$5.85 million “blue sheet” settlement
20 firms fined for operational failures and supervisory violations
- By: James Langton
- January 31, 2006 January 31, 2006
- 11:30
Latest news in From the Regulators
MFDA begins second round of compliance reviews
The Mutual Fund Dealers Association has issued a bulletin to advise its members that its staff have commenced the second round of compliance examinations. These…
- By: James Langton
- January 30, 2006 January 30, 2006
- 08:55
OSC approves minimum standards for institutional accounts
The Ontario Securities Commission has approved a proposed policy of the Investment Dealers Association of Canada regarding minimum standards for institutional account opening, operation and…
- By: James Langton
- January 27, 2006 January 27, 2006
- 16:50
CSA provides guidance on mobility exemptions
Exemption triggered when a client relocates
- By: James Langton
- January 27, 2006 January 27, 2006
- 16:35
CNQ announces repeal of Rule 10-105
Risk disclosure statements no longer required
- By: IE Staff
- January 27, 2006 January 27, 2006
- 15:35
Quebec dealer fined for capital shortfall
Kaufmann also missed deadline for NRD enrolment
- By: IE Staff
- January 27, 2006 January 27, 2006
- 09:35
ASC fines salesman $55,000
Park illegally distributed securities worth $8.5 million
- By: IE Staff
- January 24, 2006 January 24, 2006
- 13:10
UK institutions to rely more on independent research: report
New rules on commission arrangements bring about changes
- By: James Langton
- January 24, 2006 January 24, 2006
- 10:15
U.S. regulators seek comment on proposed changes to business entertainment rule requirements
NASD, NYSE working together to develop a consistent approach
- By: James Langton
- January 23, 2006 January 23, 2006
- 17:15
Rampart reps banned for roles in securities scheme
Fines total $625,000
- By: IE Staff
- January 23, 2006 January 23, 2006
- 17:01
AMF to end 15% fee reduction
Filing fees to rise March 1
- By: James Langton
- January 23, 2006 January 23, 2006
- 08:25
Quebec trio found guilty of violating securities laws
Ducharme fined $30,000 for selling securities without being registered
- By: James Langton
- January 20, 2006 January 20, 2006
- 16:10
MFDA issues update on anti-money laundering rules
FINTRAC clarifies identity verification requirements
- By: James Langton
- January 20, 2006 January 20, 2006
- 15:45
OSC chairman calls on regulators to defend retail investors
Wilson lauds IDA for splitting off trade association role
- By: James Langton
- January 18, 2006 January 18, 2006
- 16:20
NASD enforcement chief stepping down
Goldsmith leaving to return to private practice
- By: James Langton
- January 18, 2006 January 18, 2006
- 16:15
BCSC settles with New Jersey-based FX firm
FX Solutions admits to unregistered trading
- By: IE Staff
- January 18, 2006 January 18, 2006
- 12:45
AMF recommends administrator for Mount Real companies
Regulator asks for asset freeze to be partially lifted
- By: James Langton
- January 18, 2006 January 18, 2006
- 08:30
SEC proposes rule changes on executive-pay disclosures
Aim is to improve compensation transparency
- By: James Langton
- January 17, 2006 January 17, 2006
- 15:30
Jory Capital CEO fined $25,000
IDA suspends Cooney for five years
- By: IE Staff
- January 16, 2006 January 16, 2006
- 16:15
Regulator’s plan would see dealers repay Portus fees to investors
$12 million paid out to Ontario dealers
- By: James Langton
- January 16, 2006 January 16, 2006
- 08:35
Compliance with audit committee rules lacking
Issuers were unaware of provisions, CSA says
- By: James Langton
- January 13, 2006 January 13, 2006
- 17:00
TSX proposes changes to direct access rules
Comments due February 13
- By: IE Staff
- January 13, 2006 January 13, 2006
- 16:40
UBS censured in market-timing settlement
Firm fined US$49.5 million for failing to supervise brokers
- By: James Langton
- January 12, 2006 January 12, 2006
- 16:30
SEC looking for volunteers for interactive data initiative
Incentives for issuers include expedicted reviews of annual reports
- By: James Langton
- January 11, 2006 January 11, 2006
- 16:50
NBSC to hold series of roundtable discussions
Regulator hope dialogue will identify solutions
- By: James Langton
- January 11, 2006 January 11, 2006
- 16:30