capital Archives - The Industry Spread

Securities Regulators Encourage Canadians to Help Identify and Stop Senior Financial Abuse

June 16, 2019

The Canadian Securities Administrators (CSA) is encouraging Canadians to be aware of the signs of financial abuse of seniors as part of World Elder Abuse Awareness Day (WEAAD) on June 15, 2019. Through a variety of online resources and activities across Canada, the CSA, its members and other senior-focused groups are highlighting the issue and the need to recognize, report and stop financial abuse of seniors.

Fraser Valley Man Penalized for Committing Fraud

June 16, 2019

A panel of the British Columbia Securities Commission (BCSC) has imposed a $350,000 administrative penalty on Fraser Valley Man William Wade Furman who deceived investors about his status as a registrant, his prior history of success in trading in securities and his use of investor funds.

MAS Imposes Civil Penalty of $336,000 on Mr Tham Wai Mun Raphael for Insider Trading

June 6, 2019

The Monetary Authority of Singapore (MAS) has imposed a civil penalty of $336,000 on Mr Tham Wai Mun Raphael for insider trading. He had sold shares in Auhua Clean Energy PLC (ACE), a company listed on the Alternative Investment Market of the London Stock Exchange, while in possession of non-public and price-sensitive information concerning the company.

BCSC Panel Extends Temporary Orders

June 5, 2019

A British Columbia Securities Commission (BCSC) panel has extended temporary orders that were previously imposed on several individuals, companies and issuers in November 2018.

BCSC Reaches Settlement Over Illegal Trading

April 29, 2019

The British Columbia Securities Commission (BCSC) has reached a settlement over illegal trading agreement with a B.C. man who helped an issuer raise funds without being registered.

Intercontinental Exchange Launches Eight New Regional MSCI Futures Contracts

April 17, 2019

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses, announced the launch of eight new regional MSCI futures contracts. The new contracts, which started trading yesterday, are listed on ICE Futures U.S. and five expiry months have been listed for each contract: June 2019, September 2019, December 2019, March 2020 and June 2020.