The Autorité des marchés financiers reports that the Bureau de décision et de révision en valeurs mobilières issued a court order that cease trades companies…
Calugar to pay US$50 million penalty
Corporate governance concerns addressed, says IDA
Firm cooperating with regulators
Joint Forum issues set of guiding principles
Date for penalty hearing not yet scheduled
Says firm knowingly produced inaccurate data in “breakpoint sweep”
Court finds Gaudreault guilty
Issuers, insiders subject to $5,000 maximum fine
The U.S. Securities and Exchange Commission announced today that it filed charges against six former officers of Putnam Fiduciary Trust Company, a Boston-based registered transfer…
Imposes $275,000 fine
Alleges former Investors Group rep misappropriated client funds
Old “pump-and-dump” scheme in new garb
No evidence of wrongdoing, Mounties say
Castaneda continued trading despite order to stop
The Ontario Securities Commission today released its decision and reasons for imposing sanctions on Ontario broker Brian Verbeek.Between August 2000 and July 2001, Verbeek, who…
PFSL rep facing disciplinary proceedings
Reports to be prepared semi-annually
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…
Investor compensation fund logs more than 600 claims
More and more securities are held and transferred internationally, but legal status differs across nations
Interactive data initiative aimed at giving investors better tools
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…
Independence, performance are areas of key concern: report
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…