Regulators to consult on “trade-through” rule
Concept release planned for June
- By: IE Staff
- May 12, 2005 May 12, 2005
- 09:30
Latest news in From the Regulators
Man fined $5,500 for failing to file insider trading reports
OSC approves settlement with Popovic, Dxstorm
- By: IE Staff
- May 11, 2005 May 11, 2005
- 10:30
Advisors must take responsibility for investment recommendations, OSC chairman says
Onus on advisors to understand the products they sell
- By: Lara Hertel
- May 10, 2005 May 10, 2005
- 15:50
External panel says CPP financial stability conclusion “well-supported”
Britain’s Government Actuary's Department conducted review
- By: IE Staff
- May 9, 2005 May 9, 2005
- 15:55
Securities group advocates study of trading regulations
ICSA also endorses anti-money laundering provisions, and pledges support for campaign against terrorism
- May 9, 2005 May 9, 2005
- 07:35
CSA to examine compliance with audit committee rules
New rules outline duties and composition of committees
- By: IE Staff
- May 6, 2005 May 6, 2005
- 14:22
Oppenheimer & Co. facing multiple trading charges
NASD says former Fahnestock & Co. failed to report more than 6,100 municipal bond transactions
- By: IE Staff
- May 5, 2005 May 5, 2005
- 16:00
NASD seeking financial disclosure research
Education group asking for grant proposals “that will significantly improve the current disclosure regime”
- By: James Langton
- May 4, 2005 May 4, 2005
- 14:58
Moody’s sees improvements in corporate governance
Finds significant reforms in Canada and the U.S.
- By: IE Staff
- May 4, 2005 May 4, 2005
- 12:30
SEC targets “wrong number” scams
The U.S. Securities and Exchange Commission revealed a new twist on pump and dump scams with the filing of civil charges against telemarketers for leaving…
- By: James Langton
- May 3, 2005 May 3, 2005
- 16:11
RS panel issue reasons for settlement in Salman Partners decision
Reasons issued over objections of the regulator
- By: James Langton
- May 3, 2005 May 3, 2005
- 14:58
Company president banned for failing to disclose trading activity
Jesus Ricafort Martinez failed to disclose 163 transactions totalling more than $1.8-million, BCSC says
- By: IE Staff
- May 3, 2005 May 3, 2005
- 09:26
International travel biggest expense for outgoing OSC chairman
Regulator calls release of expense reports “in the interests of transparency”
- By: James Langton
- May 3, 2005 May 3, 2005
- 08:10
Rankin pleads not guilty as trial opens
The insider trading trial of Andrew Rankin opened Monday in Ontario Court with the former managing director at RBC Dominion Securities pleading not guilty to…
- By: IE Staff
- May 2, 2005 May 2, 2005
- 15:41
RS seeks comment on trading rule changes
Comments due by end of May
- By: IE Staff
- May 2, 2005 May 2, 2005
- 11:57
CSA answers cease-trade questions
May also publish additional guidance on issue
- By: IE Staff
- May 2, 2005 May 2, 2005
- 07:35
CFOs may face late fees for not passing qualifying exam
IDA seeking comment on proposal
- By: IE Staff
- May 1, 2005 May 1, 2005
- 23:00
More analysis needed on Basel II, bank agencies say
Will delay publishing new rules
- By: James Langton
- April 29, 2005 April 29, 2005
- 15:18
No deal in dispute between ASC, Alberta Auditor General
ASC seeking to force complainants to go on the record
- By: James Langton
- April 29, 2005 April 29, 2005
- 10:30
SEC settles with former Alliance Capital execs
Resolves part in market-timing scandal
- By: IE Staff
- April 29, 2005 April 29, 2005
- 09:09
SEC accuses adult Web site of stock manipulation
Files action against Vancouver-based site operator
- By: James Langton
- April 28, 2005 April 28, 2005
- 15:30
ASC sets conditions for co-operation
The Alberta Securities Commission has advised the Alberta Auditor General of the extent to which it will co-operate with his examination of the commission.It said…
- By: IE Staff
- April 28, 2005 April 28, 2005
- 10:05
Raymond James & Associates and unit hit with fines, censure
NASD issues US$750,000 penalty for violations relating to firms’ fee-based brokerage business
- By: IE Staff
- April 27, 2005 April 27, 2005
- 15:55
Greater U.S., Europe convergence sought
SIA spokesman says integrating transatlantic institutional markets a first step
- By: James Langton
- April 27, 2005 April 27, 2005
- 15:45
Cole to head FSA enforcement team
The Financial Services Authority has tapped Royal Bank of Canada’s defender in an Enron-related lawsuit to serve as its new head of enforcement.Margaret Cole, 43,…
- By: James Langton
- April 27, 2005 April 27, 2005
- 09:57