Latest news in From the Regulators

RCMP executes search warrant at Scotiabank headquarters

Market squad investigating Royal Group

By: IE Staff
February 1, 2005 February 1, 2005
16:20

Court upholds 15-year trading ban

OSC must reconsider costs charged to former Yorkton broker

By: IE Staff
January 31, 2005 January 31, 2005
08:30

Joint Forum releases sales practice standards

Consumers to benefit from uniform protection

By: James Langton
January 31, 2005 January 31, 2005
08:20

Court upholds BCSC false rumour penalty

$25,000 penalty reasonable deterrent, court says

By: James Langton
January 31, 2005 January 31, 2005
08:20

Sudbury advisor facing OSC hearing

Montpellier defrauded Foreign Capital investors

By: IE Staff
January 28, 2005 January 28, 2005
11:40

MFDA issues reminder on reporting client complaints

Dealers required to report instances of forgery, theft or misappropriation

By: IE Staff
January 27, 2005 January 27, 2005
08:55

MFDA hearing announced for missing fund rep

Parkinson disappearance frustrates investigation

By: James Langton
January 26, 2005 January 26, 2005
15:10

Two Wall Street firms to pay US$80 million in IPO settlement

Goldman, Sachs & Co. and Morgan Stanley & Co. Inc will each pay US$40 million to settle SEC allegations that they improperly induced customers to…

By: James Langton
January 25, 2005 January 25, 2005
16:20

OSC introduces hearing simplified process

Issues sanctions against Wells Fargo, auditor

By: IE Staff
January 25, 2005 January 25, 2005
14:45

SEC approves MFS “shelf space” payment plan

Sun Life unit to pay investors US$50 million

By: James Langton
January 25, 2005 January 25, 2005
11:20

Former tax promoter wins appeal against tax lawyer

Advice wrongfully given to competing client says BC Court

By: Stewart Lewis
January 24, 2005 January 24, 2005
08:35

CSA expects new corporate governance to be implemented this summer

Staff reviewing industry comments

By: James Langton
January 21, 2005 January 21, 2005
17:00

CSA issues guidance for pricing bitumen reserves

Will revisit pric-setting when market matures

By: James Langton
January 21, 2005 January 21, 2005
16:57

SOX requirement could mean more material weaknesses reported

Fitch says implementation of SOX 404 won’t be straightforward

By: IE Staff
January 20, 2005 January 20, 2005
15:37

Retail investors facing greater risks, FSA says

U.K. regulator to layout priorities

By: James Langton
January 19, 2005 January 19, 2005
13:23

Cease-trade database expands

Adds orders against firms and individuals

By: James Langton
January 18, 2005 January 18, 2005
13:22

Regulators approve amendments to UMIR disciplinary proceedings

OSC approves amendments to MFDA officer protection by-law

By: James Langton
January 17, 2005 January 17, 2005
08:45

NASD fines analyst US$75,000 for circulating rumour

Bearish rumour caused RF Micros shares to fall 10%

By: James Langton
January 17, 2005 January 17, 2005
08:30

CSA offers guidance on retirement benefits disclosure

Information on executive pensions most useful if found in proxy circular

By: James Langton
January 14, 2005 January 14, 2005
08:50

BCSC panel denies staff bid to stop offshore firms from trading in B.C.

Panel calls for new hearing

By: IE Staff
January 13, 2005 January 13, 2005
09:50

OSC drops court challenge

Releases 2000 audit critical of IDA

By: James Langton
January 12, 2005 January 12, 2005
14:10

NYSE announces disciplinary actions

Morgan Stanley to pay US$13 million penalty

By: James Langton
January 12, 2005 January 12, 2005
11:50

Further comment needed on proposed overhaul of SRO rules, says SEC

Comment period extended to March 8

By: James Langton
January 12, 2005 January 12, 2005
10:10

U.S. regulators fine Southwest US$10 million for improper fund trading

Three managers fined for failing to supervise brokers

By: James Langton
January 10, 2005 January 10, 2005
14:10

Firms must obtain signed agreements from all reps, MFDA says

Regulator issues warning on registration

By: James Langton
January 10, 2005 January 10, 2005
08:30