OSC lifts cease-trade order on Black, Hollinger insiders
Company financial filings now up to date
- By: IE Staff
- April 11, 2007 April 11, 2007
- 07:20
Latest news in From the Regulators
NASD warns investors of risks associated with using margin to purchase securities
The National Association of Securities Dealers today issued an updated Investor Alert warning investors about the risks associated with trading on margin. The regulator reports…
- By: James Langton
- April 10, 2007 April 10, 2007
- 13:40
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
Firms not filing applications for exemptive relief on a timely basis, CSA says
Late filing disrupts efficiency of regulatory review
- By: James Langton
- March 25, 2007 March 25, 2007
- 14:25
Criminal charges filed against hedge fund for deceptive market timing
Beacon Rock Capital charged, SEC reports
- By: James Langton
- March 23, 2007 March 23, 2007
- 14:40
NASAA challenges reports that “over-regulation” has harmed U.S. competitiveness
NASAA president reaffirms state investor protection role
- By: James Langton
- March 22, 2007 March 22, 2007
- 15:50
SEC settles charges with Amex, Sodano
Exchange failed to enforce compliance with securities laws
- By: James Langton
- March 22, 2007 March 22, 2007
- 15:20
Clients of introducing firms should be able to deal with firms’ carrying broker following business disruptions, IDA says
Procedure seen as a second line of defence
- By: James Langton
- March 22, 2007 March 22, 2007
- 07:30
FSA sets out reforms to funding of Compensation Scheme
Proposed reforms designed to make system more robust and sustainable
- By: James Langton
- March 21, 2007 March 21, 2007
- 10:30