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Company: Market Regulation Services Inc.

90 results found

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

CIBC World Markets fined $700,000

RS alleges dealer failed to detect manipulative trading

By: IE Staff
December 21, 2004 December 21, 2004
15:45

CSFB to pay $1.5 million for off-marketplace trades of BCE shares

Firm harmed market integrity, efficiency, says RS

By: IE Staff
December 3, 2004 December 3, 2004
11:20

Brokerages required to file reports on CNQ short positions

RS sets deadline of December 1

By: James Langton
November 9, 2004 November 9, 2004
12:10

RS survey outlines top market integrity risks

Insider trading seen as risk most likely to occur

By: James Langton
October 25, 2004 October 25, 2004
07:30

UBS Securities Canada fined $2 million for “double printing”

RS panel approves settlement

By: James Langton
October 8, 2004 October 8, 2004
11:10

Regulators trim fee relief to market makers

Exemptions limited to 70% reduction

By: IE Staff
October 7, 2004 October 7, 2004
12:40

Universal Market Integrity Rules under review

RS seeking public comment

By: IE Staff
October 4, 2004 October 4, 2004
15:35

RS rule changes affect short sales, regulatory halts

ETFs granted exemption from pricing restrictions

By: James Langton
August 27, 2004 August 27, 2004
10:40

RS issues warning on Market-on-Close orders

Brokerages risk allegations of manipulative trading

By: James Langton
August 26, 2004 August 26, 2004
15:20