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Company: Market Regulation Services Inc.

90 results found

Canaccord fined $50,000

Brokerage failed to supervise frontrunning trader

  • By: IE Staff
  • December 9, 2003 December 9, 2003
  • 15:20

RS adds VP, general counsel

Rosemary Chan will report to RS CEO

  • By: IE Staff
  • December 1, 2003 December 1, 2003
  • 16:50

BMO Nesbitt branch manager fined $50,000

Failed to supervise stock-manipulating broker

  • By: IE Staff
  • November 27, 2003 November 27, 2003
  • 08:55

Former Nesbitt rep given two-year for manipulative trading

Scott fined $125,000

  • By: IE Staff
  • November 14, 2003 November 14, 2003
  • 13:10

CFSB traders alleged to have improperly traded BCE stock

Hearing set for December

  • By: IE Staff
  • September 24, 2003 September 24, 2003
  • 13:50

New database protects against securities trading violations

Software consolidates cease trade orders and notifies dealers by e-mail

  • By: IE Staff
  • May 13, 2003 May 13, 2003
  • 13:10

Former Sprott trader fined

Settlement reached over insider-trading allegations

  • By: IE Staff
  • April 2, 2003 April 2, 2003
  • 12:00

RS proposes exemption for Market Maker Obligation trades

Trades to be exempt from paying fees

  • By: IE Staff
  • February 28, 2003 February 28, 2003
  • 16:50

Regulator introduces new penalty guidelines for trading violations

RS guidelines could result in $1 million fines

  • By: IE Staff
  • September 27, 2002 September 27, 2002
  • 09:15

RS clarifies off-marketplace trades

Trades between spouses not to be executed off-marketplace

  • By: IE Staff
  • June 26, 2002 June 26, 2002
  • 15:09