OSC looking to fill vacancies on Small Business Advisory Committee
Applications due by December 22
- By: IE Staff
- November 26, 2006 November 26, 2006
- 14:50
Latest news in From the Regulators
FSA sets out costs and benefits of Markets in Financial Instruments Directive
Implementation of MIFID could cost as much as £1 billion
- By: James Langton
- November 24, 2006 November 24, 2006
- 10:20
Saskatchewan regulator issues notice on privacy legislation
Notice details how privacy legislation relates to securities law
- By: James Langton
- November 23, 2006 November 23, 2006
- 10:50
Saskatchewan securities amendments given second reading
Changes would help implement passport system of regulation
- By: James Langton
- November 23, 2006 November 23, 2006
- 10:40
Former Bennett Environmental CEO reaches tentative deal with OSC
Settlement to be considered at a hearing next week
- By: IE Staff
- November 22, 2006 November 22, 2006
- 15:50
IDA dismisses appeal by former Rampart broker
Sanctions imposed upon Katmarian were reasonable
- By: IE Staff
- November 22, 2006 November 22, 2006
- 11:30
Suspicious Vancouver investment scheme prompts warning from BCSC
Regulator worried about possible Ponzi scheme
- By: IE Staff
- November 21, 2006 November 21, 2006
- 14:20
IDA OKs use of alternative approach for calculating capital requirements for private placements
New approach properly reflects the lower risk associated with private placements of four-month restricted securities during the underwriting distribution period
- By: IE Staff
- November 21, 2006 November 21, 2006
- 11:10
ASC orders market bans and fines
$240,000 in sanctions and costs for illegal distribution of securities
- By: IE Staff
- November 20, 2006 November 20, 2006
- 11:45
FSA, SEC strengthen ties
Agreement builds on existing regulatory framework for information exchange
- By: James Langton
- November 20, 2006 November 20, 2006
- 10:50
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