NYSE expanding electronic trading platform
Securities Industry Association calls plan a “good step forward”
- By: IE Staff
- August 3, 2004 August 3, 2004
- 16:11
Latest news in From the Regulators
Fidelity settles with SEC over record-keeping violations
Firm to pay total US$2 million in fines and will be censured by NYSE
- By: IE Staff
- August 3, 2004 August 3, 2004
- 15:09
OSC upholds decision against Donald Greco
An Ontario Securities Commission panel has upheld Market Regulation Services Inc.’s decision that trader Donald Greco engaged in front-running.Greco sought a review of RS’s decision…
- By: _ _
- August 3, 2004 August 3, 2004
- 13:27
SEC reaches market-timing settlement with firm
Franklin Advisers to pay US$50 million
- By: IE Staff
- August 3, 2004 August 3, 2004
- 07:55
IFIC takes issue with joint-service arrangements
Tells OSC it needed more time to ponder implications
- By: James Langton
- July 30, 2004 July 30, 2004
- 15:53
Toronto man convicted of investment, mail fraud
SEC to consider sanctions
- By: James Langton
- July 30, 2004 July 30, 2004
- 07:50
Panel dismisses charges against traders
Says Market Regulation Services exceeded jurisdiction
- By: IE Staff
- July 29, 2004 July 29, 2004
- 15:53
B.C. court backs pension regulator
Dismisses review sought by Butler Brothers Supplies
- By: James Langton
- July 29, 2004 July 29, 2004
- 15:48
Late filings land Morgan Stanley US$2.2 million fine, censure
The NASD said Thursday it has censured and fined Morgan Stanley DW Inc. US$2.2 million and blocked it from registering new brokers for a week…
- By: IE Staff
- July 29, 2004 July 29, 2004
- 14:11
Supreme Court backs Ontario in Monsanto pension case
Surplus pension assets must distributed to terminated workers in partial wind-up of pension plan
- By: James Langton
- July 29, 2004 July 29, 2004
- 10:14
Stakeholders lower OSC satisfaction grade
The Ontario Securities Commission has received good, but slightly lower grades, according to a report Thursday on stakeholder satisfaction.Stakeholders also strongly support the idea of…
- By: IE Staff
- July 29, 2004 July 29, 2004
- 09:43
Fraudster banned in Ontario, now also banned in B.C.
Cheated 45 investors in Ontario and B.C. out of more than $2.4 million
- By: IE Staff
- July 29, 2004 July 29, 2004
- 09:00
RS rolls back CoolBrands trades
Company failed to alert regulator of news release
- By: IE Staff
- July 29, 2004 July 29, 2004
- 07:55
Broker who churned account fined, suspended
A Toronto broker who churned a client’s account has been fined $45,000 and suspended from the industry for 10 years.The Investment Dealers Association of Canada…
- By: IE Staff
- July 28, 2004 July 28, 2004
- 13:45
Four U.S. brokerages hit with total of US$20 million in fines
NASD says firms improperly priced corporate bonds, kept inadequate records
- By: James Langton
- July 28, 2004 July 28, 2004
- 10:54
Ottawa committed to pensions, income trust issue
Finance Minister Ralph Goodale has reiterated his government’s commitment to dealing with the perceived tax leakage from income trusts.Goodale’s first budget, brought down last March,…
- By: IE Staff
- July 28, 2004 July 28, 2004
- 10:36
Verbeek-Bruce hearings rescheduled
Moved to September and November, respectively
- By: IE Staff
- July 27, 2004 July 27, 2004
- 13:39
Retail clients not always treated fairly: FSA
Britain’s Financial Services Authority says its latest research shows that retail financial firms fall short in their efforts to give retail clients a fair deal.In…
- By: James Langton
- July 27, 2004 July 27, 2004
- 09:52
SEC, NYSE settles with two front-running firms
Firms to pay US$5.2 million in penalties and disgorgement
- By: IE Staff
- July 26, 2004 July 26, 2004
- 12:57
Canaccord fulfills Tolpinrud settlement agreement
Additional disgorgements made
- By: IE Staff
- July 22, 2004 July 22, 2004
- 15:55
SEC releases proposed rules governing registration of hedge fund advisors
Regulator says 50% of advisors are currently registered
- By: IE Staff
- July 21, 2004 July 21, 2004
- 14:50
MFDA announces chairmen for regional councils
The Mutual Fund Dealers Association has named chairmen and vice chairmen for each of its four regional councils. The regional councils will provide regional representation…
- By: James Langton
- July 20, 2004 July 20, 2004
- 14:55
AMF grants SRO status to IDA
Approval streamlines Quebec's regulatory framework
- By: IE Staff
- July 20, 2004 July 20, 2004
- 10:50
NASD sanctions Citigroup, Merrill Lynch, Morgan Stanley
Three firms fined US$250,000 each for failing to comply with their discovery obligations
- By: IE Staff
- July 19, 2004 July 19, 2004
- 14:55
Province sets Oct. 18 date for report on Ontario regulatory system
Provincial committee struck to review recommendations of Crawford report
- By: James Langton
- July 19, 2004 July 19, 2004
- 10:11