OSC kicks off investor awareness campaign
October is Investor Education Month
- By: IE Staff
- October 3, 2006 October 3, 2006
- 12:35
Latest news in From the Regulators
SEC rules by yearend
Define when banks can deal in securities
- By: James Langton
- September 29, 2006 September 29, 2006
- 16:44
NBSC promoting capital market development
Fallsail summit aims to inspire business people, others to spur capital market growth
- By: James Langton
- September 29, 2006 September 29, 2006
- 15:53
OSC rules on viaticals case
Viaticals are securites, OSC says, and subject to securities law
- By: IE Staff
- September 29, 2006 September 29, 2006
- 14:08
More co-operation between financial product providers and distributes needed
Britain’s FSA is encouraging providers to design their products with greater care, provide better information
- By: James Langton
- September 28, 2006 September 28, 2006
- 16:03
Three charged with fraud
Investigation began in Decemberr 2004 on referral from OSC
- By: James Langton
- September 26, 2006 September 26, 2006
- 15:43
CSA reveals compliance gaps
Majority of issuers comply with certification requirements
- By: James Langton
- September 22, 2006 September 22, 2006
- 15:02
B.C. media personality accused of fraud
BCSC alleges Albert Budai bought and sold stocks he profiled in media
- By: IE Staff
- September 21, 2006 September 21, 2006
- 09:31
IDA issues account-transfer warning
Concerned about client harm arising from delays
- By: James Langton
- September 20, 2006 September 20, 2006
- 16:00
NASAA reveals new leadership
Alberta Securities Commission vice chair Glenda Campbell the only Canadian on NASAA’s board of directors
- By: James Langton
- September 20, 2006 September 20, 2006
- 09:29
NASD fines three securities firms $5 million
Companies provided inaccurate and misleading information along with other violations
- By: James Langton
- September 19, 2006 September 19, 2006
- 15:35
NASAA announces series of best practices for North American broker-dealers
Recommended best practices designed to promote better understanding of compliance challenges
- By: James Langton
- September 19, 2006 September 19, 2006
- 09:26
Portfolio managers need to improve marketing: report
OSC report report summarizes the results of its portfolio manager reviews
- By: James Langton
- September 17, 2006 September 17, 2006
- 15:25
U.S. consumer prices rise 0.2% in August
Industrial production slips: Fed
- By: IE Staff
- September 17, 2006 September 17, 2006
- 08:25
OSFI begins search for Le Pan’s replacement
Applications due by October 2
- By: James Langton
- September 14, 2006 September 14, 2006
- 15:20
Profit slips at Xceed in Q3
New competitors in the non-traditional mortgage market pose a challenge
- By: IE Staff
- September 14, 2006 September 14, 2006
- 08:50
Hasley named vice chairman of OSFI audit committee
Appointment of independent member demonstrates strong commitment to ensuring the highest levels of governance
- By: James Langton
- September 13, 2006 September 13, 2006
- 15:50
Ontario seeks input on prudent portfolio investment rules
Will consult with insurers and fraternal societies
- By: James Langton
- September 13, 2006 September 13, 2006
- 14:30
BCSC dismisses allegations against Pacific International
BCSC chairman Doug Hyndman calls the case a "precedent-setting" one for the commission
- By: IE Staff
- September 13, 2006 September 13, 2006
- 10:20
Fund managers more optimistic on economy: survey
Fed decision soothed fears of inflation
- By: James Langton
- September 13, 2006 September 13, 2006
- 09:25
NYSE fines five firms for rule violations
J.P. Morgan Securities; Citigroup Global Markets; Wachovia Capital Markets LLC; Wachovia Securities LLC; and First Clearing LLC
- By: James Langton
- September 13, 2006 September 13, 2006
- 09:10
UK regulator granted veto power over stock exchange rules
Move designed to address possible foreign takeover of London Stock Exchange
- By: James Langton
- September 13, 2006 September 13, 2006
- 08:30
ASC surveying dealers on registration reform
The Alberta Securities Commission is conducting an online survey of securities dealers as part of the registration reform project.The ASC notes that it is participating…
- By: James Langton
- September 12, 2006 September 12, 2006
- 16:10
U.S. securities industry forms new committee on capital markets regulation
The Committee on Capital Markets Regulation will conduct a story on how to improve U.S. public market competitiveness
- By: James Langton
- September 12, 2006 September 12, 2006
- 15:43
SEC settles with money managers
Regulator says firms charged advisory fees based on methods that did not comply with the rules
- By: James Langton
- September 8, 2006 September 8, 2006
- 15:40