IDA issues reminder on fund substitutions
Clients must be notified of switches
- By: James Langton
- July 20, 2005 July 20, 2005
- 16:15
Latest news in From the Regulators
MFDA hits Ontario fund salesman with $3.5 million fine
Rep failed to account for client funds
- By: IE Staff
- July 20, 2005 July 20, 2005
- 15:40
Ontario beefs up consumer protection
New act allows for increased penalties
- By: James Langton
- July 20, 2005 July 20, 2005
- 10:50
SEC settles with AIM executives over market timing
Former AIM Distributors CEO fined US$125,000
- By: James Langton
- July 19, 2005 July 19, 2005
- 15:35
ASC panel finds directors “unsuitable”
Upholds TSX-V decision
- By: IE Staff
- July 19, 2005 July 19, 2005
- 14:55
Vancouver broker breached securities rules
First Associates rep fined $25,000 for neglecting “gatekeeper” duties
- By: IE Staff
- July 19, 2005 July 19, 2005
- 09:55
Finance reintroduces proposed changes to taxation of non-resident trusts
Measures designed to ensure consistent tax treatment, Ottawa says
- By: James Langton
- July 18, 2005 July 18, 2005
- 15:10
UBS Securities, Bloomberg Tradebook granted exemptions
Institutional investors can trade futures and options through electronic order-routing system
- By: James Langton
- July 15, 2005 July 15, 2005
- 14:30
Former Savoy Capital officer accused of market manipulation
ASC alleges Anderson used trades to boost fund value
- By: IE Staff
- July 15, 2005 July 15, 2005
- 11:20
Quebec opposed to federal involvement in securities regulation
Passport system meets harmonization goal, finance minister says
- By: James Langton
- July 15, 2005 July 15, 2005
- 10:55
B.C. fund salesman took client money to fund drug habit
Former Investors Group rep defrauded clients of $1.6 million
- By: IE Staff
- July 15, 2005 July 15, 2005
- 09:30
Former broker sanctioned for not paying IDA fines
Settlement agreement says broker acted contrary to public interest
- By: James Langton
- July 14, 2005 July 14, 2005
- 16:28
Regulator to review Quebec P&C brokerage sector
AMF will seek public consultation on distribution, consumer issues
- By: James Langton
- July 14, 2005 July 14, 2005
- 16:20
RSM Richter to continue as Norshield receiver
Ontario court grants motion
- By: IE Staff
- July 14, 2005 July 14, 2005
- 15:40
Boosting automated bond trading
NYSE says regulatory proposal represents a win for retail bond investors
- By: James Langton
- July 14, 2005 July 14, 2005
- 10:12
BCSC orders company head to resign
Cachet CEO dmits to authorizing undocumented loans
- By: IE Staff
- July 14, 2005 July 14, 2005
- 08:40
SEC files civil suit against Ebbers
Regulator says this is sixth civil action in WorldCom fraud
- By: IE Staff
- July 13, 2005 July 13, 2005
- 16:04
UK regulator focuses on simplifying the rulebook
FSA wants to remove unnecessary rules and guidance
- By: James Langton
- July 13, 2005 July 13, 2005
- 10:14
NYSE dishes out sanctions for breaking the rules
Exchange disciplines four member firms and 15 individuals
- By: James Langton
- July 13, 2005 July 13, 2005
- 09:32
MFDA wants information on exempt securities, deposit instruments
Regulator will use information to identify potential regulatory problems
- By: James Langton
- July 12, 2005 July 12, 2005
- 15:44
Enforcement actions launched by CSA members down in second half of 2004
More cases resolved than in the first half of the year
- By: James Langton
- July 12, 2005 July 12, 2005
- 15:26
Royal Group under investigation by SEC
U.S. regulator looking at accounting practices
- By: IE Staff
- July 11, 2005 July 11, 2005
- 15:40
BCSC reprimands investment management firm
Toronto firm admits to advising clients in B.C. without being registered
- By: IE Staff
- July 8, 2005 July 8, 2005
- 12:30
New rule revamps prospectus and registration exemption requirements
CSA says rule will replace most existing local exemptions and consolidate others
- By: James Langton
- July 8, 2005 July 8, 2005
- 09:16
OSC cautions CP Ships about corporate disclosure, insider trading
Case centres on when firm should have disclosed to the public the need to restate earnings
- By: James Langton
- July 7, 2005 July 7, 2005
- 16:10