Latest news in From the Regulators

U.S. SEC receives proposals for allocating trading symbols

One would limit the use of one-, two- and three-character symbols to those listing markets that traditionally used those symbols

By: James Langton
April 8, 2007 April 8, 2007
15:00

OSC launches new publication

<i>The Practitioner</i> will provide an overview of recent issues that have arisen in the investment funds area

By: James Langton
April 5, 2007 April 5, 2007
16:45

OSC discusses federal budget proposals

Most significant proposed amendment deals with take-over bids

By: James Langton
April 5, 2007 April 5, 2007
13:37

U.S. SEC endorses SOX compliance recommendations

Changes would eliminate waste and duplication in compliance

By: James Langton
April 4, 2007 April 4, 2007
15:56

AMF fines insiders for failing to report trades

Martial Rolland and Robert Jones failed to report any changes in their control over the securities of an issuer within 10 days of the event

By: James Langton
April 3, 2007 April 3, 2007
10:26

FSCO publishes priorities for 2007

FSCO plans to harmonize point-of-sale disclosure for segregated and mutual funds, among others

By: James Langton
April 2, 2007 April 2, 2007
12:15

CSA sponsors online investment contest for youth

Contest aims to make smart money management “cool” for an increasingly Web-savvy generation

By: IE Staff
April 2, 2007 April 2, 2007
09:50

CSA publishes FAQ on IRCs

Some have raised questions regarding the rule’s application and interpretation

By: James Langton
April 1, 2007 April 1, 2007
15:52

Total of OSC’s top salaries surpasses $27.6 milllion in 2006

This is up from combined earnings of $23.4 million in 2005 for those with a salary of $100,000 or more

By: James Langton
April 1, 2007 April 1, 2007
15:43

CSA seek comment on proposed changes to internal control reporting requirements

Proposals introduce new requirement for CEO and CFO to certify that they have evaluated the effectiveness of their internal control over financial reporting

By: James Langton
March 30, 2007 March 30, 2007
10:47

CSA proposes executive compensation disclosure reforms

Proposal will require companies to clearly define compensation policies and objectives and provide compensation for each executive and director

By: James Langton
March 29, 2007 March 29, 2007
10:22

IDA fines Vancouver broker $60,000, imposes two year suspension

Advisor effected transactions in client accounts without prior written authorization

By: IE Staff
March 29, 2007 March 29, 2007
10:15

Report calls for principles-based approach to derivatives regulation

The report will be referred to a legislative committee that will review it, hear the opinions of interested parties and report back.

By: James Langton
March 28, 2007 March 28, 2007
15:33

Ontario won’t participate in phase 2 of passport system

But the Council of Ministers of Securities Regulation notes that there's a standing invitation for the holdout province to join

By: James Langton
March 28, 2007 March 28, 2007
14:49

FSA mulls wider access for retail customers to alternative investments

Proposals would introduce retail-oriented oriented funds of alternative investment funds

By: James Langton
March 27, 2007 March 27, 2007
09:50

ASC 2006 oil and gas review now available

Report identifies common disclosure issues and explains how to meet the disclosure standards

By: James Langton
March 26, 2007 March 26, 2007
15:10

FSA publishes review of the commodities market

The UK’s Financial Services Authority published a paper, which examines the recent growth in investment in commodity markets, concluding that markets have changed significantly, creating…

By: IE Staff
March 26, 2007 March 26, 2007
11:10