Administrative penalties total nearly $1 million
Former advisor ordered to pay $800,000 penalty
The proposal would replace the CSA’s existing system for investigating possible market misconduct cases utilizing T+1 trading data
New reports designed to help firms spot and halt potential market manipulation
Vancouver man conspired with others to manipulate the stock of HBP Energy Corp.
The advisor that handled the trades did nothing wrong, regulator finds
Regulator brought almost 40 charges against 11 people and two companies
Regulator alleges four promoters conducted wash trades in several microcap companies
Scope extended to trading venues such as multilateral trading facilities and over-the-counter (OTC) markets
European Union countries will have two years to implement directive in national law