NASAA appoints new general counsel
Griffin succeeds O'Brien
- By: IE Staff
- December 7, 2000 December 7, 2000
- 16:30
Latest news in From the Regulators
SEC fines Canadians for penny stock scam
Trio used Canadian brokerage accounts to manipulate stock
- By: IE Staff
- December 7, 2000 December 7, 2000
- 10:15
Ontario publishes Bill 152 06/12/00
Leaves door open for brokers to incorporate
- By: IE Staff
- December 6, 2000 December 6, 2000
- 12:25
B.C. Securities Commission reduces fees
Savings apply to fund dealers and publicly listed companies
- By: IE Staff
- December 5, 2000 December 5, 2000
- 14:35
Japanese regulators conducting review of foreign brokerages
Inspections said to be routine
- By: IE Staff
- December 5, 2000 December 5, 2000
- 11:40
U.S. broker fined for churning mutual fund accounts
Former Dean Witter rep ordered to pay US$10,000 penalty
- By: IE Staff
- December 4, 2000 December 4, 2000
- 17:40
Former Midland Walwyn rep fined $5,000
Client recommendations deemed inappropriate
- By: IE Staff
- December 4, 2000 December 4, 2000
- 16:23
Wellington West fined $75,000 for inadequate compliance
Compliance officer faces permanent prohibition
- By: IE Staff
- December 4, 2000 December 4, 2000
- 16:20
Rothenberg Capital slapped with $20,000 fine
IDA says firm failed to maintain proper records
- By: IE Staff
- December 4, 2000 November 30, 2021
- 15:40
TSE introduces trading supervision standards
Calls on dealers to exceed minimum standards
- By: IE Staff
- December 4, 2000 December 4, 2000
- 12:00
CSA establishing new mining industry advisory committee 30/11/00
Seeking volunteer reps
- By: IE Staff
- November 30, 2000 November 30, 2000
- 11:40
SEC investigates improper boosting of fund performance 29/11/00
U.S. study finds evidence of juicing
- By: IE Staff
- November 29, 2000 November 29, 2000
- 17:50
IDA fines former Foster and Associates rep 29/11/00
Gravitis ordered to pay $16,500
- By: IE Staff
- November 29, 2000 November 29, 2000
- 11:30
Survey finds mixed reaction to Regulation FD 28/11/00
CFOs agree selective disclosure rules will change company practices
- By: IE Staff
- November 28, 2000 November 28, 2000
- 17:45
CDNX files suit to collect penalties
Hauchecorne has yet to pay $200,000 fine
- By: IE Staff
- November 28, 2000 November 28, 2000
- 12:20
CSA postpones launch of SEDI
System to report insider trading delayed until spring 2001
- By: IE Staff
- November 27, 2000 November 27, 2000
- 11:20
IDA imposes $17,000 fine on former DS rep
Client forms altered to allow trading in speculative securities
- By: IE Staff
- November 21, 2000 November 21, 2000
- 10:55
Agency reviews U.S. securities industry
Study focuses on regulatory structure of markets
- By: IE Staff
- November 20, 2000 November 20, 2000
- 13:30
Investment scheme could surface on the West coast
Regulators investigating 'personal empowerment program'
- By: IE Staff
- November 17, 2000 November 17, 2000
- 11:15
CICA releases conflict of interest report 16/11/00
Task force urges tougher rules
- By: IE Staff
- November 16, 2000 November 16, 2000
- 14:50
OSC, RCMP issue warning about investment scams 16/11/00
Jargon used to lure investors
- By: IE Staff
- November 16, 2000 November 16, 2000
- 14:15
OSC reprimands former mutual fund salesperson
Millard not registered to sell securities
- By: IE Staff
- November 14, 2000 November 14, 2000
- 16:45
Big Five accounting firms wring concessions from SEC
Regulator won't demand split of auditing and consulting divisions
- By: IE Staff
- November 13, 2000 November 13, 2000
- 11:10
SEC lays charges in another online fraud case
US$1.3 million raised in scheme
- By: IE Staff
- November 9, 2000 November 9, 2000
- 19:30
Former ScotiaMcLeod rep hit with $50,000 fine
Aiken charged with making fictitious bond trades
- By: IE Staff
- November 9, 2000 November 9, 2000
- 15:30