OSC accuses Norshield of misleading investors, investigators
Funds deposited offshore, regulator says
- By: IE Staff
- October 12, 2006 October 12, 2006
- 07:40
Latest news in From the Regulators
B.C. proposes dividend tax credit rate of 12%
Legislation to be tabled with the next provincial budget
- By: James Langton
- October 11, 2006 October 11, 2006
- 15:35
RS seeks comment on multiple markets proposals
Comments due November 6
- By: James Langton
- October 10, 2006 October 10, 2006
- 07:20
Bank supervisors endorse updated international principles for effective supervision
Cooperation among supervisors are hugely important, Le Pan says
- By: James Langton
- October 6, 2006 October 6, 2006
- 14:37
Ontario, Ottawa sign corporate tax agreement
Businesses will benefit from single tax collector
- By: IE Staff
- October 6, 2006 October 6, 2006
- 10:40
Single regulator would reduce burden on companies, Phillips says
Speaking to the Economic Club of Toronto today, Ontario Minister for Government Services, Gerry Phillips, reiterated Ontario’s demand for a national securities regulator, and suggested…
- By: James Langton
- October 5, 2006 October 5, 2006
- 15:40
Feds toughen anti-money laundering and anti-terrorist financing regime
Proposed amendments make Canada consistent with new FATF standards
- By: IE Staff
- October 5, 2006 October 5, 2006
- 11:10
Regulators must cooperate to fight economic crime effectively, IDA chief says
In a recent speech to the Joint Securities Intelligence Unit Conference, Joe Oliver, president & CEO of the Investment Dealers Association of Canada, said that…
- By: James Langton
- October 5, 2006 October 5, 2006
- 10:15
NYSE Regulation fines CIBC World Markets, Nandra Group
Suspends allied member for stock loan violations
- By: James Langton
- October 5, 2006 October 5, 2006
- 09:50
IDA releases final report of Task Force to Modernize Securities Legislation in Canada
The Investment Dealers Association of Canada (IDA) today welcomed the release of the final report of the Task Force to Modernize Securities Legislation in Canada.On…
- By: IE Staff
- October 4, 2006 October 4, 2006
- 14:50
NASD fines Oppenheimer and Co. US$800,000
Alleges brokerage failed to respond to regulatory requests
- By: IE Staff
- October 4, 2006 October 4, 2006
- 10:45
Canada’s financial system is safe and sound: OSFI annual report
Regulator strikes a balance, Le Pan says
- By: IE Staff
- October 4, 2006 October 4, 2006
- 10:10
BCSC launches fraud awareness campaign
InvestRight Web site offers a wide range of tools to help investors develop critical thinking skills
- By: James Langton
- October 4, 2006 October 4, 2006
- 07:15
OSC kicks off investor awareness campaign
October is Investor Education Month
- By: IE Staff
- October 3, 2006 October 3, 2006
- 12:35
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