Penal proceedings against Quebecer
AMF says Victor Darac faces 17 counts of having violated the Québec Act
- By: IE Staff
- July 12, 2004 July 12, 2004
- 10:14
Latest news in From the Regulators
Stymiest hopes national securities plan will proceed
Minority status shouldn’t get in way of dealing with contentious issues
- By: James Langton
- July 12, 2004 July 12, 2004
- 07:25
Good news, bad news from OSC compliance report
No new types of problems, but what’s out there is more widespread
- By: James Langton
- July 12, 2004 July 12, 2004
- 07:20
OMERS confirms FSCO inquiry
Focus is on pension giant's investment in Borealis Capital Corp.
- By: James Langton
- July 8, 2004 July 8, 2004
- 15:13
Lay pleads not guilty fraud charges
SEC files civil charges against former Enron chairman
- By: James Langton
- July 8, 2004 July 8, 2004
- 14:58
OSFI, FINTRAC tackle money laundering, terrorist financing
Sign agreement to exchange information
- By: James Langton
- July 8, 2004 July 8, 2004
- 12:34
Quebec regulator going to court to compel testimony
Nadeau summoned to answer contempt of court charge
- By: IE Staff
- July 7, 2004 July 7, 2004
- 07:40
Blowing the whistle on misleading advertising
Britain’s FSA sets up hotline for complaints about financial products
- By: James Langton
- July 6, 2004 July 6, 2004
- 10:30
Fund dealer upset over OSC decision-making process
Monarch Delaney says compliance issue resolved by time it was reported; OSC stands by its order
- By: James Langton
- July 6, 2004 July 6, 2004
- 09:35
Manitoba broker banned
Donnelle J.L. Loewen also fined $50,000 plus costs
- By: IE Staff
- July 5, 2004 July 5, 2004
- 13:23
Insurance company can’t sell to off-roaders
AMF issues order against Elite Insurance Co.
- By: IE Staff
- July 2, 2004 July 2, 2004
- 15:36
FSCO sets priorities for coming year
National harmony, more risk-based regulation, regulatory reforms, and improved service. Those are things the Financial Services Commission of Ontario would like to see in the…
- By: James Langton
- July 2, 2004 July 2, 2004
- 15:05
Ontario seeks input on mortgage broker review
Province considering minimum proficiency standards
- By: IE Staff
- July 2, 2004 July 2, 2004
- 10:50
Changes to Saskatchewan securities legislation now in effect
Three new provisions for investor protection
- By: IE Staff
- July 2, 2004 July 2, 2004
- 07:30
BOIA settles with SEC over market timing
Must pay US$50 million in disgorgements and penalties
- By: IE Staff
- June 30, 2004 June 30, 2004
- 16:17
SEC sanctions B.C. accountant
Settlement appropriate in light improper professional conduct, SEC says
- By: IE Staff
- June 29, 2004 June 29, 2004
- 16:16
Wall Street firms hit with US$610,000 in penalties
Clients didn’t receive fair price for bonds, NASD says
- By: James Langton
- June 29, 2004 June 29, 2004
- 15:57
U.S. securities industry growth slowing: report
Pace has leveled off, SIA says
- By: James Langton
- June 28, 2004 June 28, 2004
- 16:24
Broker banned for life
A former broker has been banned permanently from the industry and ordered to pay $167,000 in penalties for misappropriating more than $350,000 from his 90-year-old…
- By: IE Staff
- June 28, 2004 June 28, 2004
- 15:49
Nova Scotia dealer admits to stock manipulation
NSSC imposes five-year trading ban, $150,000 in penalties
- By: IE Staff
- June 28, 2004 June 28, 2004
- 14:39
OSC committed to single securities regulator
Commission releases statement of priorities for 2004/2005
- By: James Langton
- June 28, 2004 June 28, 2004
- 08:45
IDA rule would ensure CNQ securities not eligible for margin
Bourse de Montréal also in the process of passing amendment
- By: IE Staff
- June 25, 2004 June 25, 2004
- 13:02
Director pleads guilty
AMF seeks five-year ban against Stevens Demers
- By: IE Staff
- June 25, 2004 June 25, 2004
- 12:05
Fed sets sked for 2005
The U.S. Federal Open Market Committee announced its tentative meeting schedule for 2005 today.The Fed’s next scheduled meeting is a two-day affair next week, which…
- By: IE Staff
- June 25, 2004 June 25, 2004
- 10:27