Quebec regulator seeking to suspend Kaufmann registration
AMF alleges firm was late in pay registration fees
- By: James Langton
- March 17, 2005 March 17, 2005
- 09:40
Latest news in From the Regulators
RS fines Desjardins Securities, two officers for violating trading rules
Penalties total $1.96 million
- By: IE Staff
- March 16, 2005 March 16, 2005
- 17:10
Alberta man settles with ASC over unregistered trading
Airdrie business man agrees to pay $20,000
- By: IE Staff
- March 16, 2005 March 16, 2005
- 13:40
MFDA issues reminder on compliance responsibilities
Says required reporting is incomplete at some firms
- By: James Langton
- March 16, 2005 March 16, 2005
- 13:10
Ebbers convicted of securities fraud
Sentencing set for June 13
- By: IE Staff
- March 15, 2005 March 15, 2005
- 16:41
Big banks expected to adopt Basel II, says Le Pan
OSFI is well positioned to implement new capital rules
- By: James Langton
- March 14, 2005 March 14, 2005
- 16:35
SEC adopts fund redemption fee rule
New rule governs short-term redemption fees
- By: James Langton
- March 14, 2005 March 14, 2005
- 16:25
OSC to examine Hollinger buy-back proposal
Hearing scheduled for March 21
- By: IE Staff
- March 14, 2005 March 14, 2005
- 08:50
Rule changes require cooperation with RS
Now an offence to impede regulator during investigation
- By: IE Staff
- March 11, 2005 March 11, 2005
- 13:43
AMF suspending insurance proficiency exam
Temporary moratorium stems from consultation with industry
- By: James Langton
- March 11, 2005 March 11, 2005
- 11:40
CSA issues harmonized continuous disclosure rules for investment funds
New rule replaces most existing local CD requirements
- By: James Langton
- March 11, 2005 March 11, 2005
- 10:30
Canadian version of Sarbanes-Oxley the toughest issue he’s had to face, OSC chairman says
Compliance costs will be substantial
- By: James Langton
- March 10, 2005 March 10, 2005
- 15:20
Continuous disclosure quality acceptable, ASC
In its latest report on the quality of continuous disclosure, the Alberta Securities Commission says disclosure is acceptable, but adds there is room for improvement.Companies…
- By: IE Staff
- March 10, 2005 March 10, 2005
- 12:45
Floor clerk charged with securities fraud
SEC says clerk tipped day traders to incoming large orders
- By: James Langton
- March 9, 2005 March 9, 2005
- 14:50
American investor alleges Bay Street law firm played part in investment fraud
Lawsuit filed against Cassels Brock, former managing partner
- By: IE Staff
- March 9, 2005 March 9, 2005
- 13:25
OSC issues $15 million fee rebate
Large surplus prompts early refund
- By: IE Staff
- March 9, 2005 March 9, 2005
- 10:30
ASC settles with Savoy
Firm, CEO fined for failing to supervise trader
- By: James Langton
- March 9, 2005 March 9, 2005
- 08:50
NYSE Regulation levies US$13.5 million fine in market-timing controversy
Merrill Lynch, Pierce, Fenner & Smith failed to supervise brokers
- By: James Langton
- March 8, 2005 March 8, 2005
- 14:36
BCSC panel finds no evidence for cease-trade order against offshore firms
Same panel previously dismissed enforcement order application
- By: IE Staff
- March 8, 2005 March 8, 2005
- 14:08
Securities regulators approve trading rule amendments
UMIR changes take effect when new OSC rule enacted
- By: James Langton
- March 8, 2005 March 8, 2005
- 09:23
Industry groups team up to improve transatlantic equities dealings
A collection of U.S. and European trade associations are getting together to work toward improved transatlantic trading. The Securities Industry Association and American Bankers Association…
- By: IE Staff
- March 7, 2005 March 7, 2005
- 15:56
OSC places Portus in receivership
Order names KPMG as receiver of hedge fund
- By: IE Staff
- March 7, 2005 December 14, 2017
- 08:35
SEC adopts mutual fund redemption fee rule
Early redemption fees limited to 2% of shares redeemed
- By: James Langton
- March 4, 2005 March 4, 2005
- 16:25
IOSCO publishes trio of reports
Topics cover outsourcing, market timing, and error trades
- By: IE Staff
- March 4, 2005 March 4, 2005
- 15:30
FSA begins cost of regulation study
Goal is to improve business capability and effectiveness
- By: James Langton
- March 3, 2005 March 3, 2005
- 16:42