Latest news in From the Regulators

Nasdaq employees didn’t report
suspicious trades, SEC says

Exchange, NASD agree to boost oversight

By: James Langton
February 9, 2005 February 9, 2005
16:15

Regulators consider expanding Portus suspension

Hearing scheduled for February 17

By: James Langton
February 9, 2005 February 9, 2005
11:45

Quebec court upholds AMF decision against RBC Life

Insurer liable for fraud committed by rep

By: James Langton
February 9, 2005 February 9, 2005
10:20

Regulation FD has unintended consequences: report

Selective disclosure rule raises cost of capital for small firms

By: James Langton
February 8, 2005 February 8, 2005
15:35

Electronic filing of monthly financial information now mandatory, MFDA says

Regulator no longer accepting paper monthly filings

By: James Langton
February 7, 2005 February 7, 2005
15:45

TD Waterhouse lawsuit to proceed to trial

Firm suing former broker and client

By: James Langton
February 7, 2005 February 7, 2005
08:20

IDA permanently bans Vancouver broker

Former Canaccord rep fined $80,000

By: IE Staff
February 7, 2005 February 7, 2005
08:10

CSA seeks input on “best execution” and “soft-dollar arrangement”

Consulation to determine whether any action is required

By: James Langton
February 4, 2005 February 4, 2005
15:40

CSA simplifies process for ceasing to be a reporting issuer

Applicants may qualify for exemptive relief

By: IE Staff
February 4, 2005 February 4, 2005
10:50

CSA seeks comment on internal control and certification rules

Measure aims to improve quality of financial statements

By: James Langton
February 4, 2005 February 4, 2005
10:20

Securities regulators working to improve cross-border co-operation

Efforts underway to identify higher risk jurisdictions

By: James Langton
February 3, 2005 February 3, 2005
15:50

Provinces bar Portus from accepting new money

OSC hearing scheduled for February 17

By: IE Staff
February 2, 2005 February 2, 2005
17:10

Look before leap into RRSPs, Quebec regulator says

Read the fine print first

By: IE Staff
February 2, 2005 February 2, 2005
15:10

MFDA sets disciplinary hearing for B.C. salesperson

Alleges former Partners in Planning rep misappropriated client funds

By: James Langton
February 2, 2005 February 2, 2005
12:30

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