U.S. man permanently banned from trading securities in B.C.
Oklahoma trader pleaded guilty to securities fraud charges
- By: IE Staff
- June 20, 2006 June 20, 2006
- 09:20
Latest news in From the Regulators
Quebec regulators issue freeze orders
The Autorité des marchés financiers reports that the Bureau de décision et de révision en valeurs mobilières issued, at the AMF’s request, a freeze order…
- By: James Langton
- June 20, 2006 June 20, 2006
- 08:30
Flaherty calls for single securities regulator
Ministers to meet in Niagara-on-the-Lake later this month
- By: IE Staff
- June 19, 2006 June 19, 2006
- 11:15
SEC releases fact sheet on potential cross-border exchange mergers
Many forms of cross-border mergers would not result in mandatory registration of a non-U.S. exchange
- By: IE Staff
- June 19, 2006 June 19, 2006
- 07:10
OSC finds widespread deficiencies among limited market dealers
Regulator completes compliance review
- By: James Langton
- June 16, 2006 June 16, 2006
- 14:35
IDA amends Discretionary Fund by-law
The Investment Dealers Association of Canada is amending the by-law governing its Discretionary Fund to clarify which costs it can cover.In the latest OSC Bulletin,…
- By: James Langton
- June 16, 2006 June 16, 2006
- 13:55
Finance, securities ministers to meet in Niagara
Single securities regulator one topic of discussion
- By: IE Staff
- June 16, 2006 June 16, 2006
- 13:30
Flaherty releases financial services white paper
Proposals ignore banks' insurance demands
- By: James Langton
- June 15, 2006 June 15, 2006
- 10:40
Former Global Securities broker to face IDA hearing
Regulator alleges improper trading in Florida penny-stock scam
- By: IE Staff
- June 15, 2006 June 15, 2006
- 07:20
Provinces reaffirm commitment to passport model
Council of Ministers extend invitation to Ontario
- By: James Langton
- June 14, 2006 June 14, 2006
- 14:35
SEC complies with court order on mutual fund governance rule
Regulator seeking comment from fund industry
- By: James Langton
- June 13, 2006 June 13, 2006
- 14:20
SEC corporate and mutual fund reports now fully searchable online
Investors and analysts can now search the full text of documents filed within the last two years
- By: IE Staff
- June 13, 2006 June 13, 2006
- 09:10
U.S. regulations would not apply to UK-listed stocks: FSA
UK regulator outlines what foreign ownership of London Stock Exchange may mean
- By: James Langton
- June 12, 2006 June 12, 2006
- 08:35
AMF reiterates preference to join Norbourg class action at hearing
Regulator’s top priority is to maximize the recovery of funds for distribution to defrauded investors as soon as possible
- By: James Langton
- June 12, 2006 June 12, 2006
- 07:15
Basel II framework requires more disclosure: OSFI
Regulator encourages banks to begin disclosing information under Pillar 3
- By: James Langton
- June 9, 2006 June 9, 2006
- 15:55
OSC allows three bank-owned money managers to invest their mutual funds in a connected issuer
An independent committee will be appointed to oversee the funds’ investments
- By: James Langton
- June 9, 2006 June 9, 2006
- 15:17
MFDA appoints two new members to PAC
New members were recently appointed regional council chairs in the Atlantic and Pacific regions
- By: James Langton
- June 8, 2006 June 8, 2006
- 15:28
Quebec still has no interest in a national securities regulator
Province still supports the passport system, which aims to province single-window access to the provincial system
- By: James Langton
- June 8, 2006 June 8, 2006
- 09:17
NSSC issues requirements for registrants engaging in business outside of sponsoring firm
Advisors are required to comply with relevant by-laws, rules or regulations of the IDA or MFDA as long as they’re consistent with Nova Scotia securities…
- By: IE Staff
- June 7, 2006 June 7, 2006
- 16:15
Crawford Panel final report calls for single Canadian securities regulator
But panel recognizes there is “widespread skepticism” about the political will to move the model forward outside of Ontario
- By: James Langton
- June 7, 2006 June 7, 2006
- 12:05
MFDA announces new chairs for regional councils
Legacy Associates, Clarica, Manulife Securities, Partners in Planning advisors to head councils
- By: James Langton
- June 6, 2006 June 6, 2006
- 15:21
58% of survey respondents had fallen victim to the scam by purchasing worthless shares
- By: James Langton
- June 6, 2006 June 6, 2006
- 12:30
Value of building permits drop in April
Permits hit five-month low as housing market cools
- By: IE Staff
- June 6, 2006 June 6, 2006
- 08:50
AMF continues call for joint effort in Norbourg case
Quebec’s regulator says its top priority is to maximize the recovery of funds for distribution to defrauded investors as soon as possible
- By: James Langton
- June 5, 2006 June 5, 2006
- 15:53