Canada’s securities regulators seek feedback on XBRL
CSA will email a copy of the notice and survey to all public companies in Canada
- By: IE Staff
- June 29, 2006 June 29, 2006
- 14:36
Latest news in From the Regulators
FSCO warns of unlicensed auto insurance sales in Ontario
Advertisements offered consumers six months free auto insurance and 50% savings
- By: James Langton
- June 28, 2006 June 28, 2006
- 15:52
OSC is effective, flexible and accountable, stakeholder study finds
About 60% of those surveyed believe the OSC is a strong enforcer of the rules and regulations that govern Ontario’s capital markets
- By: IE Staff
- June 28, 2006 June 28, 2006
- 13:49
Regulation costs and burdens possibly biggest issue of concern in Britain
Corporate finance, institutional fund management and investment and pension advice incurred the highest incremental regulatory costs
- By: James Langton
- June 28, 2006 June 28, 2006
- 09:05
IDA-RS merger plan to be finalized by early fall
IDA head also stresses merits of establishing national securities regulator
- By: James Langton
- June 27, 2006 June 27, 2006
- 14:51
SEC settles enforcement action against Morgan Stanley
Firm will pay $10 million penalty for failing to prevent the misuse of inside information
- By: James Langton
- June 27, 2006 June 27, 2006
- 14:42
Regulators aim to make market regulation more focused, efficient, effective
More generically written regulations that put the onus on registrants to act in the best interest of their clients are needed, says BCSC chairman
- By: Lara Hertel
- June 27, 2006 June 27, 2006
- 13:58
Quebec committed to passport model, Audet says
Finance minister gather in Niagara-on-the-Lake
- By: IE Staff
- June 26, 2006 June 26, 2006
- 16:20
ASC bans Ruge from Alberta capital markets until 2030
On June 16, the Alberta Securities Commission issued orders pursuant to the reciprocal enforcement section of the Alberta Securities Act against Michael Ernst Ruge and…
- By: IE Staff
- June 26, 2006 June 26, 2006
- 15:40
U.S. appeals court rejects SEC hedge-fund rule
Rule sent back for reconsideration
- By: IE Staff
- June 26, 2006 June 26, 2006
- 07:15
MFDA fines Ontario fund rep $35,000
Sandink misappropriated client funds
- By: IE Staff
- June 26, 2006 June 26, 2006
- 06:50
MFDA suspends three firms
Olympus United, iForum and Tandem Wealth
- By: James Langton
- June 23, 2006 June 23, 2006
- 15:40
AMF cracks down on alleged illegal distributions
Files charges against two firms
- By: James Langton
- June 22, 2006 June 22, 2006
- 15:45
MFDA amends conflicts of interest rule
Written disclosure must be provided to clients regarding potential conflicts that have been identified
- By: James Langton
- June 22, 2006 June 22, 2006
- 15:40
Banks granted status at OSC hearing on Sears Canada privatization
Hearing scheduled for July 5
- By: IE Staff
- June 22, 2006 June 22, 2006
- 07:30
Bennett Environmental agrees to review of disclosure practices
Company settles with OSC
- By: IE Staff
- June 20, 2006 June 20, 2006
- 14:50
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
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