FSA, SEC strengthen ties
Agreement builds on existing regulatory framework for information exchange
- By: James Langton
- November 20, 2006 November 20, 2006
- 10:50
Latest news in From the Regulators
IDA issues guidance on “outside business activities”
Firms must have in place policies and procedures requiring that all other business activities are disclosed and approved
- By: James Langton
- November 19, 2006 November 19, 2006
- 16:25
CSA FAQ covers special disclosure rules for oil & gas activities
Offers guidance to issuers subject to rule on recurring issues
- By: James Langton
- November 17, 2006 November 17, 2006
- 16:40
OSC extends suspension of MFDA Rule 2.4.1
Rule outlawing personal incorporation on hold until Dec. 31, 2008
- By: James Langton
- November 17, 2006 November 17, 2006
- 15:30
RS proposes revision to fee structure
Market Regulation Services Inc. is seeking comments on proposed revisions to its fee model.In a notice RS reports that on September 29, its board of…
- By: James Langton
- November 17, 2006 November 17, 2006
- 15:10
ASC issues cease trade order against Venture Trading, Cameron
Cameron ordered to resign for misrepresentations to investors
- By: IE Staff
- November 17, 2006 November 17, 2006
- 11:15
Hedge fund managers sued for fraud in mutual fund market timing
Defendants secretly “piggy-backed” trades to evade detection by mutual funds, NY attorney general alleges
- By: James Langton
- November 17, 2006 November 17, 2006
- 08:50
National regulators must collaborate in the era of global investing, SEC chief says
Regulators must figure out how to protect investors and in an environment where capital and fraudsters are completely mobile
- By: James Langton
- November 16, 2006 November 16, 2006
- 16:45
SIFMA endorses ICSA Principles for Better Regulation
Guidelines targeted toward international financial regulators
- By: James Langton
- November 15, 2006 November 15, 2006
- 15:55
SEC enhances online search capabilities for investors
New full-text search tool for EDGAR filings
- By: IE Staff
- November 15, 2006 November 15, 2006
- 10:10
Sears Holdings halts bid for Sears Canada
Court denies appeal of OSC decision
- By: IE Staff
- November 14, 2006 November 14, 2006
- 13:40
Regulation should have a harmonized approach regardless of products, says NASD chief
There should not be "regulatory arbitrage" that provides an incentive for the sale of one product over another
- By: James Langton
- November 10, 2006 November 10, 2006
- 16:50
Fund governance rules now in effect
Investment funds required to have independent review committees
- By: IE Staff
- November 10, 2006 November 10, 2006
- 15:10
ASC swings to profit in Q2
Insider trading settlement boosts revenue
- By: James Langton
- November 9, 2006 November 9, 2006
- 16:55
Government proposes crack down on use of foreign investment trusts for tax avoidance
Flaherty tables motion in Commons
- By: James Langton
- November 9, 2006 November 9, 2006
- 16:20
Court throws out Rankin conviction
Trial judge failed to address inconsistencies in testimony
- By: IE Staff
- November 9, 2006 November 9, 2006
- 16:10
Hartford to pay US$55 million to settle directed brokerage charges
Firm failed to disclose use of fund assets to pay for marketing and distribution costs
- By: IE Staff
- November 9, 2006 November 9, 2006
- 12:10
Changes to Saskatchewan securities laws given first reading
Proposed amendments intended to harmonize processes with those in other Canadian jurisdictions
- By: IE Staff
- November 9, 2006 November 9, 2006
- 10:55
OSC launches probe of RIM
Regulators examining stock option practices
- By: IE Staff
- November 9, 2006 November 9, 2006
- 08:45
Cross-border stock scheme ends with two B.C. men ordered out of capital market
Pair admitted to illegally distributing securities
- By: IE Staff
- November 8, 2006 November 8, 2006
- 12:40
IDA panel finds Credifinance guilty of failure to co-operate
Failure to provide information undermines the integrity of the self-regulatory system, IDA says
- By: IE Staff
- November 7, 2006 November 7, 2006
- 13:10
IDA issues guidance on new accounting standards for financial instruments
The Investment Dealers Association of Canada has issued a notice that aims to provide guidance concerning the application of new accounting standards for financial instruments.…
- By: James Langton
- November 6, 2006 November 6, 2006
- 16:25
FSA launches discussion on private equity market
Shift of capital from public to private equity market poses challenges for regulators
- By: IE Staff
- November 6, 2006 November 6, 2006
- 09:50
Proposed amendments intended to harmonize Ontario securities law with other jurisdictions
Courts to gain authority to order that the convicted persons or companies to make restitution
- By: James Langton
- November 6, 2006 November 6, 2006
- 08:10
BCSC to hold hearing into alleged investment fraud
Three men accused of running Prime Bank scheme
- By: IE Staff
- November 3, 2006 November 3, 2006
- 15:40