Former NYSE specialist members charged with securities fraud
Stem from investigations by U.S. Attorney’s Office, SEC
- By: James Langton
- April 12, 2005 April 12, 2005
- 16:16
Latest news in From the Regulators
FSCO publishes LRIF policy
The Financial Services Commission of Ontario has published a policy governing Ontario Locked-In Retirement Income Funds. FSCO notes that pension legislation provides that a former…
- By: IE Staff
- April 12, 2005 April 12, 2005
- 14:26
OSFI gets high marks as regulator
Survey shows 92% satisfaction rating, up three points from 2002
- By: IE Staff
- April 12, 2005 April 12, 2005
- 14:12
NYSE charged with failing to police specialists
Agrees to settlement with SEC
- By: James Langton
- April 12, 2005 April 12, 2005
- 10:51
OSC approves settlement with ex-ATI investor relations officer
Chang, spouse to pay $1.5 million to settle insider trading charges
- By: IE Staff
- April 12, 2005 April 12, 2005
- 07:50
ASC part-time commissioners issue vote of confidence
Back ASC execs Sibold and Linder
- By: IE Staff
- April 8, 2005 April 8, 2005
- 16:07
OSC exempts TradeWeb
The Ontario Securities Commission has granted an exemption to TradeWeb LLC, allowing it to register as an international dealer without following the requirement that it…
- By: IE Staff
- April 8, 2005 April 8, 2005
- 16:01
Nova Scotia to sign on to capital pool company agreement
Amended deal replaces 2002 version
- By: IE Staff
- April 8, 2005 April 8, 2005
- 14:48
CDS seeks to update recognition order
Clearing agency designation unchanged since issued in 1997
- By: IE Staff
- April 8, 2005 April 8, 2005
- 14:17
CSA launches National Registration System
Will simplify process for firms and individuals, CSA says
- By: IE Staff
- April 8, 2005 April 8, 2005
- 12:06
Rule changes will ensure fair application of trade-through protection, RS says
Move follows SEC decision to do same to the NASDAQ
- By: James Langton
- April 8, 2005 April 8, 2005
- 11:54
SEC issues notice about prohibited conduct by underwriters
Attempts to induce aftermarket purchases during restricted period are prohibited, SEC reminds industry
- By: IE Staff
- April 7, 2005 April 7, 2005
- 15:03
Securities groups pledge greater cross-border co-operation
IOSCO conference comes to end with “landmark decisions”
- By: James Langton
- April 7, 2005 April 7, 2005
- 14:46
Disclosure not enough, FSA says
Management of conflicts not the responsibility of the regulator
- By: James Langton
- April 7, 2005 April 7, 2005
- 10:51
NASD issues new products notice
Urges firms to improve their procedures for determining what constitutes new product
- By: James Langton
- April 6, 2005 April 6, 2005
- 16:08
SIA cheers SEC ruling on broker-dealers
Will allow broker-dealers to continue to provide broad array of investments to clients
- By: IE Staff
- April 6, 2005 April 6, 2005
- 16:02
SEC votes to adopt market reforms, in split decision
Goal is to ensure nvestors get best price on electronic trades
- By: IE Staff
- April 6, 2005 April 6, 2005
- 13:35
Creditor protection for RRSPs
Ontario court decision dealt only with plan proceeds following death of planholder
- By: IE Staff
- April 6, 2005 April 6, 2005
- 10:50
No action against former rep
Bourse’s jurisdiction didn’t extend after rep left industry
- By: IE Staff
- April 6, 2005 April 6, 2005
- 10:14
MSC sets date for Crocus hearing
LSIF reports $46 million decline in net asset value
- By: James Langton
- April 5, 2005 April 5, 2005
- 17:30
IDA, AMF seek to harmonize oversight of client complaints
Regulators to share information
- By: James Langton
- April 5, 2005 April 5, 2005
- 15:45
NASD plan for Web-based point-of-sale disclosure for funds gets backing
Securities Industry Association says plan an effective model for delivering information via the Internet
- By: James Langton
- April 5, 2005 April 5, 2005
- 11:42
Report clears ASC executives, Alberta finance minister says
Report based on allegations against ASC chair Stephen Sibold and executive director David Linder
- By: IE Staff
- April 5, 2005 April 5, 2005
- 09:26
SEC should consider Internet-based disclosure for fund sales
The NASD is recommending the Securities and Exchange Commission improve point of sale disclosure to mutual fund investors by mandating a new Internet-based disclosure document.The…
- By: IE Staff
- April 4, 2005 April 4, 2005
- 15:27