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
Latest news in From the Regulators
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
OSC settles with Cheung over failure to file insider trade reports
Global Genius insider fined $5,000
- By: IE Staff
- April 26, 2005 April 26, 2005
- 15:20
U.S. regulators settle with Adelphia
Cable firm to pay US$715 million to resolve accounting fraud charges
- By: James Langton
- April 26, 2005 April 26, 2005
- 07:45
OSFI issues draft of capital requirements for seg fund guarantees
Comments due by May 25
- By: IE Staff
- April 25, 2005 April 25, 2005
- 10:20
ASC says director fired for not co-operating with investigation
Newton wouldn’t talk to auditors, commission says
- By: IE Staff
- April 25, 2005 April 25, 2005
- 07:45
Regulators to host investor town hall
Investors get opportunity to improve complaints system
- By: IE Staff
- April 22, 2005 April 22, 2005
- 10:45
SEC charges former SG Cowen managing director with insider trading
Alleges Pollet sold shares short before private placement
- By: James Langton
- April 22, 2005 April 22, 2005
- 07:30
NASD proposes broader ban on sales contests
Regulator would remove cash, non-cash incentives
- By: James Langton
- April 21, 2005 April 21, 2005
- 15:30
Former institutional trader fined US$4 million for fraudulent trades
Actions follow SEC, NASD settlements with Knight
- By: James Langton
- April 20, 2005 April 20, 2005
- 15:00
U.S. Supreme Court ruling in best interests of investor and industry, SIA says
The U.S. Securities Industry Association is praising a U.S. Supreme Court ruling, that it says will avert frivolous securities class-action lawsuits.The Supreme Court overruled a…
- By: James Langton
- April 20, 2005 April 20, 2005
- 13:10
FSCO invites comments on list for priorities
Regulator to focus on point of sale disclosure for investment funds
- By: James Langton
- April 19, 2005 April 19, 2005
- 10:50
OSC imposes permanent ban on mutual fund rep
Calls Montpellier’s actions “conspicuously offensive”
- By: IE Staff
- April 18, 2005 April 18, 2005
- 15:55
CSA launches national registration system
Firms and individuals can now register with just one regulator
- By: IE Staff
- April 18, 2005 April 18, 2005
- 09:50
OSC approves TSX governance measures
Ontario regulators approved new corporate governance measures proposed by the TSX group today, and published a series governance-related rules for comment.The Ontario Securities Commission reported…
- By: James Langton
- April 18, 2005 April 18, 2005
- 07:40
Electronic audit initiative making progress
Six vendors selected for TREATS RFP
- By: IE Staff
- April 18, 2005 April 18, 2005
- 07:20
MFDA issues guidance on trading authorizations
New authorization forms to be implemented by April 2006
- By: James Langton
- April 15, 2005 April 15, 2005
- 16:25
SEC to ease transition by foreign registrants to IFRS
Will help adopt International Financial Reporting Standards
- By: IE Staff
- April 14, 2005 April 14, 2005
- 15:56
Financial crime fighting requires more resources
Federal report makes six recommendations, including maintaining FINTRAC funding
- By: James Langton
- April 14, 2005 April 14, 2005
- 12:05
SEC enforcement chief steps down
Stephen Cutler oversaw agency's investigations of some of the largest financial reporting failures in history
- By: James Langton
- April 14, 2005 April 14, 2005
- 10:28
OECD launches governance initiative
Forms international group to look into improving effectiveness of boards of directors
- By: James Langton
- April 14, 2005 April 14, 2005
- 09:51
OSFI gets power to impose monetary penalties
New regulations to replace current filing penalties
- By: James Langton
- April 13, 2005 April 13, 2005
- 15:21
Canada, U.S. investor protection groups sign co-operation agreement
The Canadian Investor Protection Fund has signed a mutual cooperation agreement with its U.S. counterpart, the Securities Investor Protection Corp.The CIPF, which maintains a fund…
- By: IE Staff
- April 13, 2005 April 13, 2005
- 14:39
NYSE sanctions specialist traders
Fleet Securities fined US$100,000
- By: James Langton
- April 13, 2005 April 13, 2005
- 11:10