ASC settles with Savoy
Firm, CEO fined for failing to supervise trader
- By: James Langton
- March 9, 2005 March 9, 2005
- 08:50
Latest news in From the Regulators
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
SEC study analyzes impact of market timing at U.S. fund giant
Redemptions outweighed trading losses at Putnam
- By: IE Staff
- March 3, 2005 March 3, 2005
- 16:10
ASC orders interim trading ban against Rundle Development
Calgary real estate developers alleged to have traded in securities without filing a prospectus or being registered
- By: IE Staff
- March 2, 2005 March 2, 2005
- 14:17
Identity Theft Index Canada: New survey
Canadians growing more concerned about identity theft
- By: IE Staff
- March 2, 2005 March 2, 2005
- 12:16
OSC schedules hearing for Franklin Templeton
Regulator to consider market timing settlement
- By: IE Staff
- February 28, 2005 February 28, 2005
- 10:35
No merger talks between RS and IDA
Media reports are false, says RS chairman
- By: James Langton
- February 28, 2005 February 28, 2005
- 08:30
OSC seeks comment MFDA investor protection fund
The Ontario Securities Commission is publishing for comment the revised application of the Mutual Fund Dealers Association of Canada for a contingency fund, known as…
- By: James Langton
- February 25, 2005 February 25, 2005
- 15:20
Financial Services OmbudsNetwork releases annual report
Most complaints resolved at the company level
- By: IE Staff
- February 24, 2005 February 24, 2005
- 15:50
Zurich Insurance facing charges from Quebec regulator
Quebec’s financial services regulator, the Autorité des marches financiers, is accusing Zurich Insurance Co. of violating the province’s Automobile Insurance Act.The AMF, which is bringing…
- By: IE Staff
- February 24, 2005 February 24, 2005
- 15:37
OSC announces membership of Small Business Advisory Committee
Blumberger to chair SBAC
- By: IE Staff
- February 23, 2005 February 23, 2005
- 10:45
MFDA schedules two disciplinary hearings
Reps in Saskatchewan, Ontario to face hearing panel
- By: IE Staff
- February 22, 2005 February 22, 2005
- 17:10
U.S. regulator spending more on information technology
Efforts will lead to greater compliance, report says
- By: IE Staff
- February 22, 2005 February 22, 2005
- 16:15
BCSC settles with New York-based FX firm
Forex Capital to pay $142,500 over unregistered trading
- By: IE Staff
- February 22, 2005 February 22, 2005
- 10:20
Ontario taking action on move to single regulator
Appoints panel to draft detailed design
- By: IE Staff
- February 21, 2005 February 21, 2005
- 08:20
U.S. fund giant faces charges of illegal payments to brokerages
NASD accuses American Funds of "directed brokerage"
- By: James Langton
- February 16, 2005 February 16, 2005
- 16:20
ASC releases findings of oil and gas disclosure reviews
Regulator says it is satisfied with compliance
- By: IE Staff
- February 16, 2005 February 16, 2005
- 15:50
Quebec issues temporary order against Portus
AMF action follows moves by other provinces
- By: James Langton
- February 16, 2005 February 16, 2005
- 11:10