CSA issues update on soft-dollar arrangements
Regulators aiming to publish proposed changes in first quarter of 2006
- By: James Langton
- December 16, 2005 December 16, 2005
- 16:20
Latest news in From the Regulators
Equisure settles with AMF
Equisure Financial Network Inc. today announced an agreement with the Autorité des marchés financiers that will conclude an enquiry, begun last March, into the business…
- By: IE Staff
- December 16, 2005 December 16, 2005
- 12:45
Mining company insider banned from securities market
Former China Diamond director fined $25,000 by BCSC
- By: IE Staff
- December 16, 2005 December 16, 2005
- 09:55
Securities heads discuss financial reporting standards
U.S., European chairmen express support for continued collaboration
- By: James Langton
- December 15, 2005 December 15, 2005
- 16:30
Alberta man convicted of violating ASC order
Archer placed under house arrest
- By: IE Staff
- December 15, 2005 December 15, 2005
- 12:30
Ontario strengthens investor protection
The Ontario legislature today passed Bill 18 which includes a number of measures that aim to strengthen investor protection and update the securities regulatory framework,…
- By: James Langton
- December 14, 2005 December 14, 2005
- 17:35
SEC seeks comment on best-price rule
Rule would ensure all shareholders are paid the same consideration
- By: James Langton
- December 14, 2005 December 14, 2005
- 17:15
RS sanctions former Dundee trader
Order entry breached principles of trade
- By: IE Staff
- December 14, 2005 December 14, 2005
- 14:30
IDA fines Calgary broker $10,000
Canaccord rep forged client’s signature
- By: IE Staff
- December 13, 2005 December 13, 2005
- 13:55
Chicago dealer fined for failing to enforce trading limits
Deceptive market timing “unfair and harmful” to mutual fund shareholders
- By: James Langton
- December 13, 2005 December 13, 2005
- 12:55
Warning over new “pump and dump” scheme
Text messages being used to hype stocks, warns NASD
- By: James Langton
- December 13, 2005 December 13, 2005
- 12:45
Regulators issue new guidance on continuous disclosure for smaller firms
CSA notice summarizes most common deficiencies
- By: IE Staff
- December 13, 2005 December 13, 2005
- 10:10
Regulators issue warning to seniors
Credentials of “senior specialists” may be suspect
- By: James Langton
- December 12, 2005 December 12, 2005
- 16:20
CIBC World Markets settles with SEC
Dealer fined for violating rules on political contributions
- By: James Langton
- December 12, 2005 December 12, 2005
- 15:35
CSA finds problems with continuous disclosure
Highlights common deficiencies among small issuers
- By: James Langton
- December 9, 2005 December 9, 2005
- 17:20
AMF lays insider trading charges
Begins proceedings against Ressouces Allican director
- By: James Langton
- December 9, 2005 December 9, 2005
- 10:25
Crawford Panel proposes new model for a single regulator
Council of Ministers would select board of directors, vote on rules
- By: James Langton
- December 7, 2005 December 7, 2005
- 16:10
Saskatchewan postpones deposit agent regulation
Rule would require intermediaries who trade in GICs to be registered
- By: James Langton
- December 6, 2005 December 6, 2005
- 17:10
ASC extends denial of exemptions order against Arbour Energy
Regulators allege misleading documents used to solicit investments
- By: IE Staff
- December 6, 2005 December 6, 2005
- 12:55
RS picks academic to join Rules Advisory Committee
Concordia prof to represent retail investor perspective
- By: IE Staff
- December 5, 2005 December 5, 2005
- 14:45
EU unveils five-year financial services strategy
The European Commission today presented its new financial services strategy for the next five years, calling for greater convergence in rules and more competition, particularly…
- By: James Langton
- December 5, 2005 December 5, 2005
- 12:35
Securities regulators to make SEDI more user friendly
Users encouraged to participate in survey
- By: IE Staff
- December 5, 2005 December 5, 2005
- 10:20
New model for single securities regulator
Ontario panel to reveal plan
- By: James Langton
- December 2, 2005 December 2, 2005
- 14:35
Quebec regulator receives bids for iForum Securities
IDA suspends securities firm
- By: James Langton
- December 2, 2005 December 2, 2005
- 12:50