MFDA bans fund salesman
Former Partners in Planning rep fined $185,000
- By: James Langton
- August 23, 2005 August 23, 2005
- 15:30
Latest news in From the Regulators
ASC gives reasons for striking down Tartan Energy poison pill
Says adoption of the shareholders rights plan could have undermined the predictability of the take-over bid process
- By: James Langton
- August 23, 2005 August 23, 2005
- 14:10
OSFI rescinds business practice standards
Standards for life insurance companies now obsolete, regulator says
- By: James Langton
- August 22, 2005 August 22, 2005
- 14:55
Ontario releases paper on funding of jointly sponsored DB pension plans
Identifies areas of conflict with Pension Benefit Act
- By: James Langton
- August 22, 2005 August 22, 2005
- 07:35
HSBC Securities settles with IDA over trading violations
Hearing scheduled for Wednesday
- By: IE Staff
- August 22, 2005 August 22, 2005
- 07:25
MFDA issues warning on investment loan ads
Says ads promote the merits of leveraging strategies while failing to mention risks
- By: James Langton
- August 18, 2005 August 18, 2005
- 15:10
Ontario seeks comment on cost of borrowing disclosure
Province looking to harmonize borrowing disclosure provisions with other jurisdictions
- By: James Langton
- August 17, 2005 August 17, 2005
- 16:15
OSC approves settlement with former Thomson Kernaghan CEO
Simpson permanently banned from registration
- By: IE Staff
- August 17, 2005 August 17, 2005
- 15:20
IDA fines former IPC Securities COO $40,000
A hearing panel of the Investment Dealers Association of Canada fined a former chief operating officer of IPC Securities Corp. $40,000 for failing to supervise…
- By: IE Staff
- August 17, 2005 August 17, 2005
- 13:35
IDA fines Vancouver broker $30,000
Global rep attempted to obstruct investigation
- By: IE Staff
- August 17, 2005 August 17, 2005
- 10:20
FSCO, AMF team up on complaint reporting
Goal is to reduce duplication and harmonize regulatory reporting
- By: James Langton
- August 17, 2005 August 17, 2005
- 09:20
OSC to review settlement with former Thomson Kernaghan CEO
Regulator alleges Simpson failed to supervise Valentine
- By: IE Staff
- August 15, 2005 August 15, 2005
- 16:30
Ottawa releases draft amendments to Income Tax act
Measures originally proposed in federal budget
- By: IE Staff
- August 15, 2005 August 15, 2005
- 13:20
Four brokers charged in “squawk box” case
Day trader paid brokers for live access to brokerage firms’ internal communications systems
- By: James Langton
- August 15, 2005 August 15, 2005
- 11:35
NYSE Regulation fines Merrill Lynch US$10 million
Brokerage firm failed to deliver customer prospectuses
- By: James Langton
- August 15, 2005 August 15, 2005
- 10:35
IDA fines IPC Securities $100,000
Firm failed to comply with IDA by-laws
- By: IE Staff
- August 15, 2005 August 15, 2005
- 07:40
IDA fines former Dundee branch manager $50,000
Bassett banned for failing to co-operate with investigation
- By: IE Staff
- August 12, 2005 August 12, 2005
- 14:50
OSC proposes changes to its fee schedules
Comments due by November 10
- By: IE Staff
- August 12, 2005 August 12, 2005
- 10:20
IDA expels Calgary broker
Stewart previously fined for unauthorized trading
- By: IE Staff
- August 11, 2005 August 11, 2005
- 15:54
ASC reports small first quarter loss
Says revenue was significantly higher than forecast
- By: James Langton
- August 11, 2005 August 11, 2005
- 14:55
Former Citigroup executives facing fraud charges
SEC files civil complaint over transfer agent profit
- By: James Langton
- August 9, 2005 August 9, 2005
- 10:10
IDA fines Saskatchewan rep $20,000
Broker failed to learn details of debentures he recommended to clients
- By: IE Staff
- August 8, 2005 August 8, 2005
- 14:50
OSC extends temporary orders against Momentas
Employees sold securities without being registered
- By: IE Staff
- August 8, 2005 August 8, 2005
- 10:15
SEC is the investor’s advocate, new chairman says
Individual investors in need of protection, Cox says
- By: James Langton
- August 5, 2005 August 5, 2005
- 14:55