Fediuk to face RS hearing
Hearing for alleged frontrunning scheduled for August 29
- By: James Langton
- August 25, 2005 August 25, 2005
- 17:50
Latest news in From the Regulators
Norbourg under investigation by AMF for alleged $70.7 million embezzlement
Regulator orders fund manager to cease business
- By: James Langton
- August 25, 2005 August 25, 2005
- 15:37
IDA appeal panel trims penalties handed out to LMV Canada, Paradis
LVM Canada fine cut to $20,000 from $40,000
- By: IE Staff
- August 24, 2005 August 24, 2005
- 12:50
MFDA bans fund salesman
Former Partners in Planning rep fined $185,000
- By: James Langton
- August 23, 2005 August 23, 2005
- 15:30
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