No evidence of trading abuses by seg funds: report
Effective company controls in place, FSCO says
- By: James Langton
- June 20, 2005 June 20, 2005
- 16:40
Latest news in From the Regulators
OSC gets mixed signals on enforcement
Regulator sees broad support for review of SROs
- By: James Langton
- June 20, 2005 June 20, 2005
- 07:20
MFDA IPC finalizing $30 million line of credit
Coverage to start July 1
- By: James Langton
- June 17, 2005 June 17, 2005
- 17:16
New corporate governance rules
Guideline amendments will take effect on June 30
- By: James Langton
- June 17, 2005 June 17, 2005
- 16:13
SEC rescinds MarketXT’s registration
Electronic trading system consents to order, though admitting nothing
- By: James Langton
- June 17, 2005 June 17, 2005
- 16:02
BCSC finds promoter traded on inside information, manipulated market
Sanctions pending on Siddiqi
- By: IE Staff
- June 17, 2005 June 17, 2005
- 10:15
Court affirms NSSC jurisdiction over violation of SRO rules
N.S. Supreme Court issues reasons
- By: James Langton
- June 16, 2005 June 16, 2005
- 17:24
MFDA offers guidance on limited trading authorizations
April 2005 form clarified
- By: James Langton
- June 16, 2005 June 16, 2005
- 14:57
OSC chairman says retail investors need protection
Regulator promises more Investor Town Halls in the future
- By: James Langton
- June 16, 2005 June 16, 2005
- 14:42
ASC settles with Mercury Partners
Mercury and former principal fined $50,000 each
- By: IE Staff
- June 14, 2005 June 14, 2005
- 12:33
Former Betacom executives charged with accounting fraud
The Toronto branch of the RCMP’s Integrated Market Enforcement Team has charged three senior corporate executives of the former Betacom Corporation Inc. with accounting fraud.…
- By: James Langton
- June 14, 2005 June 14, 2005
- 09:30
Lakeport files final prospectus
Fund could hold up to 80% interest in brewery
- By: IE Staff
- June 13, 2005 June 13, 2005
- 15:43
NASD charges Pennsylvania brokerage with impermissible short selling scheme
Scheme maintain short positions in OTC stocks on behalf of three hedge funds
- By: IE Staff
- June 13, 2005 June 13, 2005
- 10:25
RS approves amendment to trading rules
Changes to accommodate introduction of multiple and competitive marketplaces
- By: James Langton
- June 13, 2005 June 13, 2005
- 07:30
S&P supports SEC’s new rules
Says ratings agencies need reassurance from regulator
- By: James Langton
- June 10, 2005 June 10, 2005
- 16:00
SEC adds another charge to Gen Re-AIG fraud
Complaint amended to include vp Napier
- By: James Langton
- June 10, 2005 June 10, 2005
- 15:13
BCSC settles with three unregistered salesmen
Trio sold $27 million of securities without a prospectus
- By: IE Staff
- June 10, 2005 June 10, 2005
- 11:35
ASC makes staffing changes
Says changes are aimed at improving effectiveness and renewing public confidence
- By: IE Staff
- June 10, 2005 June 10, 2005
- 10:30
NASD fines three firms for violating lock-up agreements
Penalites total more than US$2.9 million
- By: James Langton
- June 9, 2005 June 9, 2005
- 15:19
ASC disciplines broker for unauthorized discretionary trading
Stewart banned from trading for 10 years
- By: IE Staff
- June 9, 2005 June 9, 2005
- 12:45
NASD doles out nearly US$34 million in fines
U.S. regulator finds 15 broker-dealers giving preferential treatment
- By: James Langton
- June 8, 2005 June 8, 2005
- 16:39
MFDA uncovers questionable transactions
Regulator says some automatic transactions may not comply with rules
- By: James Langton
- June 8, 2005 June 8, 2005
- 16:13
CSA launches Registration Reform Project Web site
RRP aims to reduce regulatory burden
- By: IE Staff
- June 8, 2005 June 8, 2005
- 11:10
BCSC fines former fund salesman for fraud
Dennis slapped with 30-year ban
- By: IE Staff
- June 8, 2005 June 8, 2005
- 10:55