Hedge funds managers misappropriated millions, says SEC
Bayou Funds managers facing civil charges
- By: James Langton
- September 30, 2005 September 30, 2005
- 07:30
Latest news in From the Regulators
Canaccord reps cleared
A hearing panel of the Investment Dealers Association of Canada has dismissed all charges involving allegations of unbecoming conduct against two brokers with Canaccord Capital…
- By: IE Staff
- September 29, 2005 September 29, 2005
- 16:15
MFDA implements passport model
Exemptions unavailable to Ontario dealers
- By: James Langton
- September 29, 2005 September 29, 2005
- 15:45
Insurers fined for paying commissions to unlicensed agents
Nine companies sanctioned by Alberta regulator
- By: James Langton
- September 27, 2005 September 27, 2005
- 15:20
Charges laid against credit card boiler-rooms
Telemarketers in Calgary and Toronto allegedly defrauded victims of US$12.5 million
- By: James Langton
- September 27, 2005 September 27, 2005
- 13:40
MFDA aims to clarify conflict of interest requirements
Rules to apply equally to business and personal dealings with clients
- By: James Langton
- September 26, 2005 September 26, 2005
- 07:25
MFDA sets minimum standards for branch reviews
Program designed to detect potential problems
- By: James Langton
- September 23, 2005 September 23, 2005
- 16:20
OSC Securities Advisory Committee gets new blood
Six members joining SAC
- By: IE Staff
- September 23, 2005 September 23, 2005
- 14:45
Deficiencies found in fairness policies
OSC conducts money manager review
- By: James Langton
- September 23, 2005 September 23, 2005
- 14:30
OSC approves settlements with Affinity Financial and its principals
Regulator revokes registration, invokes permanent cease-trade orders
- By: IE Staff
- September 22, 2005 September 22, 2005
- 15:35
SEC extends SOX 404 compliance deadline
Small companies get another year
- By: James Langton
- September 22, 2005 September 22, 2005
- 14:40
Bank of Canada Governor calls for uniform securities laws
Dodge sees benefits in “tiered” approach to securities regulation
- By: James Langton
- September 22, 2005 September 22, 2005
- 13:50
Quebec regulator freezes @rgentum funds
Says no explanation given for substantial drop in assets
- By: James Langton
- September 21, 2005 September 21, 2005
- 07:30
Hollinger International insider agrees to 29-month fraud sentence
Radler to co-operate with U.S. authorities
- September 20, 2005 September 20, 2005
- 15:15
OSC to review settlement reached with Affinity Financial
Investor funds sent to U.S. disappeared
- By: IE Staff
- September 20, 2005 September 20, 2005
- 12:10
Compliance costs to rise in wake of market timing abuses
U.S. fund industry must now identify intermediaries
- By: James Langton
- September 20, 2005 September 20, 2005
- 10:50
Mutual Fund Dealers Association aims to clarify obligations of representatives
Reps operating under a joint code subject to all MFDA rules
- By: James Langton
- September 19, 2005 September 19, 2005
- 16:18
Passport model to improve interworkings of securities regulators takes effect in all provinces but Ontario
Hold-out province seeking a single national regulator
- By: James Langton
- September 19, 2005 September 19, 2005
- 16:01
Goodale asks McCallum to cease advance rulings on income trusts
Move could halt trust conversions until government decides how to proceed
- By: James Langton
- September 19, 2005 September 19, 2005
- 15:54
No prison for Coffin in sponsorship fraud
Community-based sentence of two-years-less-a-day
- By: IE Staff
- September 19, 2005 September 19, 2005
- 14:18
BC’s FICOM and FINTRAC join forces to fight money laundering and terrorist financing
Agencies agree to exchange compliance information
- By: IE Staff
- September 19, 2005 September 19, 2005
- 13:53
Former Tyco execs sentenced to up to 25 years in prison for looting company
Kozlowski, Swartz order to repay US$134 million in restitution
- By: IE Staff
- September 19, 2005 September 19, 2005
- 13:09
New Brunswick implements principal regulator system rule
Part of plan to streamline Canada’s regulatory framework
- By: James Langton
- September 19, 2005 September 19, 2005
- 10:07
Jory Capital Inc., Patrick Michael Cooney and Rees Merthyn Jones violated IDA by-laws, panel finds
$10,000 payout ignored early warning restrictions
- By: IE Staff
- September 16, 2005 September 16, 2005
- 13:07
OSC adjourns hearing for Boyle, Melnick and Malone
New hearing set for Oct. 27
- By: IE Staff
- September 16, 2005 September 16, 2005
- 12:45