Know the products you’re selling, MFDA reminds reps
Dealers must perform reasonable level of due diligence on products prior to approval for sale, regulator says
- By: James Langton
- October 31, 2005 October 31, 2005
- 16:45
Latest news in From the Regulators
NASD sanctions firms for excessive markups on bond trades
RBC affiliates fined
- By: James Langton
- October 31, 2005 October 31, 2005
- 16:30
OSFI revises minimum continuing capital and surplus requirements for life insurers
Revisions include changes to the requirements for mortality and segregated fund guarantee risk
- By: James Langton
- October 31, 2005 October 31, 2005
- 13:20
OSC sharply trims costs in Donnini settlement
Regulator responds to court of appeal
- By: James Langton
- October 31, 2005 October 31, 2005
- 08:35
CDIC releases annual report
2005 brings positive Changes for consumers, members
- By: IE Staff
- October 28, 2005 October 28, 2005
- 13:40
Manitoba judge clears way for sale of assets of Crocus
Receiver can sell assets of LSIF
- By: IE Staff
- October 27, 2005 October 27, 2005
- 15:20
No evidence of unfair enforcement at ASC: report
Auditor General says regulator needs to clarify enforcement guidelines and policies
- By: IE Staff
- October 27, 2005 October 27, 2005
- 14:30
Rankin sentenced to six months in jail
Former RBC DS investment banker convicted on 10 counts of stock tipping
- By: IE Staff
- October 27, 2005 October 27, 2005
- 13:20
Mystery shoppers find banks in compliance with consumer protection laws
FCAC releases results of its second mystery-shopping exercise
- By: IE Staff
- October 26, 2005 October 26, 2005
- 13:20
IDA fines PEI rep $25,000 for misconduct
Sullivan facilitated a loan between clients and his son’s company
- By: IE Staff
- October 26, 2005 October 26, 2005
- 10:50
Israeli courts freeze assets of Portus founder
Manor blocked from leaving Israel
- By: IE Staff
- October 26, 2005 October 26, 2005
- 07:40
RS head urges corporate officers to co-operate with regulators
Written disclosure policies can help prevent problems
- By: James Langton
- October 25, 2005 October 25, 2005
- 15:20
AMF sues Norbourg founder for $94 million
The Autorité des marchés financiers yesterday launched a $94 million lawsuit against Vincent Lacroix, the founder of the Norbourg group of companies, accusing him of…
- By: IE Staff
- October 25, 2005 October 25, 2005
- 07:45
IDA expels Alberta rep
Johnson repeatedly borrowed money from clients
- By: IE Staff
- October 24, 2005 October 24, 2005
- 14:50
MFDA establishes committe to review Investor Protection Corp.
MacLaren to chair working group
- By: James Langton
- October 24, 2005 October 24, 2005
- 07:25
Regulators agree to invest SEDAR surpluses
Funds to be used for development, or fee reductions
- By: IE Staff
- October 24, 2005 October 24, 2005
- 07:20
MFDA bans former Cartier reps for their role in “Lech Investment”
Over $2 million went missing in investment scheme
- By: IE Staff
- October 21, 2005 October 21, 2005
- 13:20
Regulators streamline short form prospectus system
New rule effective December 30
- By: IE Staff
- October 21, 2005 October 21, 2005
- 11:20
Rankin sentencing adjourned until October 27
Regulator seeking jail term of three to five years
- By: IE Staff
- October 20, 2005 October 20, 2005
- 07:50
Firms not required to report reps on short-term disability
Absent supervisors must be reported, regulators say
- By: James Langton
- October 19, 2005 October 19, 2005
- 15:30
RS fines two Dundee Securities supervisors
Pair failed to fully investigate manipulative trading practices
- By: IE Staff
- October 19, 2005 October 19, 2005
- 13:40
NASD fines Green Street US$150,000 for issuing research reports prepared by unregistered analysts
Analysts issued over 120 reports before taking and passing qualifying exams
- By: James Langton
- October 19, 2005 October 19, 2005
- 10:30
OSC to hold hearing into RRSP/loan scheme
Ochnik offered investors non-repayable loan if they collapsed their RRSPs
- By: IE Staff
- October 18, 2005 October 18, 2005
- 14:15
SEC settles with electronic exchanges
Instinet and Inet repeatedly published inaccurate monthly execution reports
- By: James Langton
- October 18, 2005 October 18, 2005
- 11:15
Ontario bars B.C. man from securities business
Court hands Eron Mortgage salesman three-year prison term
- By: IE Staff
- October 18, 2005 October 18, 2005
- 10:45