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
Latest news in From the Regulators
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
SEC settles civil injunctive action against Austrian bank
U.S. Attorney's Office for the Southern District of New York enters into agreement, bank to pay US$675 million to settle non-prosecution agreement
- By: James Langton
- June 5, 2006 June 5, 2006
- 15:43
OSC issues FAQ for insiders who wish to establish an ASDP
Notice represents OSC staff's views on the interpretation of certain requirements of Ontario securities law that apply to ASDPs
- By: James Langton
- June 2, 2006 June 2, 2006
- 16:02
OSC outlines proposed policy for misrepresentations defence
Various issuers and counselors have expressed uncertainty with defence requirements
- By: James Langton
- June 2, 2006 June 2, 2006
- 15:56
CSA plans to accelerate disclosure of mining companies’ technical reports
As of July 1, reports will be available on SEDAR at the same time preliminary prospectus is made public
- By: James Langton
- June 2, 2006 June 2, 2006
- 15:50
SEC issues settled cease and desist order against the Philadelphia Stock Exchange
The order stems from several deficiencies in the exchange’s surveillance program from 1999 through 2002
- By: James Langton
- June 1, 2006 June 1, 2006
- 13:59
AMF warns of fake e-mail
Quebec regulator has no connection to e-mail circulating on the Web bearing its name
- By: James Langton
- June 1, 2006 June 1, 2006
- 13:18
SEC settles with 15 broker-dealer firms
Fines stemming from illegal activity in the auction rate securities market
- By: James Langton
- May 31, 2006 May 31, 2006
- 11:20
FSCO issues insurance warning
Individual arrested for alleged insurance fraud scheme
- By: James Langton
- May 30, 2006 May 30, 2006
- 16:01
Saskatchewan regulators granted new powers
New rules in force June 1
- By: IE Staff
- May 29, 2006 May 29, 2006
- 16:20
Alberta securities transfer legislation receives Royal Assent
Bill brings transfer laws under a single act
- By: James Langton
- May 29, 2006 May 29, 2006
- 16:15
Room for improvement in corporate governance, OSC head says
Executive compensation is getting tougher for investors to understand
- By: James Langton
- May 29, 2006 May 29, 2006
- 13:50
CDS proposes amendments to confidentiality obligations
Market participants obliged to keep CDS information confidential
- By: James Langton
- May 26, 2006 May 26, 2006
- 15:20
OSC issues guidance on selling model portfolios of mutual funds
Fund dealer considered to be providing discretionary management
- By: James Langton
- May 26, 2006 May 26, 2006
- 14:55
OSC CD advisory committee seeking new members
Applications are due by June 30
- By: James Langton
- May 26, 2006 May 26, 2006
- 14:50
Investor protection association supports action launched by AMF against Norbourg
MEDAC recommends co-operation with AMF
- By: IE Staff
- May 26, 2006 May 26, 2006
- 11:50