Jesus Ricafort Martinez failed to disclose 163 transactions totalling more than $1.8-million, BCSC says
Regulator calls release of expense reports “in the interests of transparency”
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…
Comments due by end of May
May also publish additional guidance on issue
IDA seeking comment on proposal
Will delay publishing new rules
ASC seeking to force complainants to go on the record
Resolves part in market-timing scandal
Files action against Vancouver-based site operator
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…
NASD issues US$750,000 penalty for violations relating to firms’ fee-based brokerage business
SIA spokesman says integrating transatlantic institutional markets a first step
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,…
Global Genius insider fined $5,000
Cable firm to pay US$715 million to resolve accounting fraud charges
Comments due by May 25
Newton wouldn’t talk to auditors, commission says
Investors get opportunity to improve complaints system
Alleges Pollet sold shares short before private placement
Regulator would remove cash, non-cash incentives
Actions follow SEC, NASD settlements with Knight
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…
Regulator to focus on point of sale disclosure for investment funds
Calls Montpellier’s actions “conspicuously offensive”