Mutual fund sales practices rule will not be revised, OSC says
Rule strikes “the right balance between protecting investors, and fostering fair and efficient capital markets”
- By: James Langton
- April 27, 2007 April 27, 2007
- 15:18
Latest news in From the Regulators
TSX amends issuer bid policy
Amendments don’t include rules for derivatives and accelerated buy backs in connection with normal course issuer bids
- By: James Langton
- April 27, 2007 April 27, 2007
- 15:17
SEC announces US$79 million fair fund distribution in Edward Jones revenue sharing settlement
Beneficiaries were victims of Edward Jones’ failure to adequately disclose revenue payments from a select group of mutual fund companies
- By: James Langton
- April 27, 2007 April 27, 2007
- 07:40
OSC working to improve investment fund disclosure
Too easy for investors to be drowned out in a chorus of well-financed voices, Wilson laments
- By: James Langton
- April 26, 2007 April 26, 2007
- 17:50
U.S. SEC, German counterpart sign co-operation agreement
Agreement provides clear mechanisms for consultation, co-operation and exchange of information between the two agencies
- By: James Langton
- April 26, 2007 April 26, 2007
- 15:56
SEC announces next steps relating to international financial reporting standards
U.S., UK regulators sign protocol for sharing information on application of IFRS
- By: James Langton
- April 25, 2007 April 25, 2007
- 15:50
Ontario compensates victims of unlawful activity
More than $600,000 distributed under Civil Forfeiture Law
- By: James Langton
- April 25, 2007 April 25, 2007
- 10:55
IDA panel finds Octagon guilty of facilitating illegal private placement distribution
Two other charges not supported by evidence
- By: IE Staff
- April 24, 2007 April 24, 2007
- 12:40
Touting “China” stocks latest “Pump and Dump” scheme, NASD alert says
Most of the companies being peddled are not even incorporated in China
- By: James Langton
- April 23, 2007 April 23, 2007
- 15:25
CSA renews terms of chairman, vice chairman
St-Gelais, Murray to serve two more years
- By: IE Staff
- April 23, 2007 April 23, 2007
- 11:20
FSA sets out future of regulation
The UK’s Financial Services Authority published a paper today setting out its current thinking on its move towards a more-principles-based regulatory regime. The paper accompanies…
- By: James Langton
- April 23, 2007 April 23, 2007
- 10:45
Financial institution reforms come into force
Canadian financial institutions can add more foreign experts to their boards
- By: IE Staff
- April 22, 2007 April 22, 2007
- 12:40
CSA seeks comment on trading rule ammendments
Joint notice with RS outlines proposal for trade-through regime
- By: IE Staff
- April 20, 2007 April 20, 2007
- 10:20
IDA fines Halifax rep $150,000
Regulator imposes permanent ban on Puccini
- By: IE Staff
- April 18, 2007 April 18, 2007
- 15:25
IDA to hold penalty hearing in Trudeau matter
Former 3macs broker failed to ensure that client orders were within the bounds of good business practice
- By: IE Staff
- April 18, 2007 April 18, 2007
- 14:40
ASC concludes settlement with Medicine Hat man
Biddell agrees to pay $15,000 to settle illegal distribution charges.
- By: IE Staff
- April 18, 2007 April 18, 2007
- 13:55
AMF reaches agreement with RBC General Insurance
Insurer implements a new procedure data collection and transmission
- By: James Langton
- April 17, 2007 April 17, 2007
- 15:10
Alberta Securities Amendment Act receives third reading
Amendments advance harmonization and streamlining of securities legislation across Canada
- By: James Langton
- April 17, 2007 April 17, 2007
- 14:55
SEC unveils anti-money laundering compliance tool
AML source tool designed to assist broker-dealers
- By: James Langton
- April 16, 2007 April 16, 2007
- 15:45
Manitoba regulator issues warning of suspicious investment scheme
Scheme targets investors at free seminars
- By: James Langton
- April 16, 2007 April 16, 2007
- 15:40
NASD reminds investors to consider global market risk when investing
Alert outlines various types of market risk
- By: James Langton
- April 16, 2007 April 16, 2007
- 10:20
No evidence of excessive failed trades on Canadian marketplaces: study
RS considering several recommendations regarding short sale and failed trade regulation in Canada
- By: James Langton
- April 15, 2007 April 15, 2007
- 16:20
IOSCO 2010 meeting planned for Montreal
Richard stepping down as Secretary General
- By: James Langton
- April 12, 2007 April 12, 2007
- 10:15
International securities regulators wrap up conference in India
Number of signatories to the IOSCO MOU continues to steadily increase
- By: IE Staff
- April 12, 2007 April 12, 2007
- 09:10