NBSC supports upcoming Atlantic Angel Summit
April event designed to support capital market development
- By: James Langton
- March 21, 2006 March 21, 2006
- 09:30
Latest news in From the Regulators
OFSI issues warning on possible flu pandemic
Asks industry associations to report on preparedness initiatives
- By: IE Staff
- March 20, 2006 March 20, 2006
- 17:30
Quebec appeal court upholds Genecan decision
Revenue Quebec ordered to pay $1 million
- By: IE Staff
- March 20, 2006 March 20, 2006
- 14:40
AMF ready to receive consumer complaints
Companies must file with Complaint Reporting System
- By: James Langton
- March 20, 2006 March 20, 2006
- 11:45
EU looking to improve M&A approval process
Seeks input form from financial services industry
- By: James Langton
- March 17, 2006 March 17, 2006
- 15:40
OSC approves changes to IDA branch manager rules
IDA revamps proficiency requirement for managers of non-retail branches
- By: James Langton
- March 17, 2006 March 17, 2006
- 15:30
Regulators solicit proposals for electronic audit system
Decision on TREATS coming in July
- By: James Langton
- March 17, 2006 March 17, 2006
- 13:15
FSA measures market abuse
Study suggests the effectiveness of visible enforcement action
- By: James Langton
- March 17, 2006 March 17, 2006
- 09:30
U.S. regulators urge preparedness for possible flu pandemic
Alert issued for financial institutions
- By: IE Staff
- March 16, 2006 March 16, 2006
- 12:15
Bear Stearns fined US$250 million for market timing
Firm settles with SEC, NYSE
- By: James Langton
- March 16, 2006 March 16, 2006
- 11:40
NASD fines Merrill Lynch $5 Million for supervisory failures
Call centre sales contests prohibited for three years
- By: James Langton
- March 15, 2006 March 15, 2006
- 17:10
SEC, FSA sign regulatory co-operation arrangement
Regulators agree to exchange confidential supervisory information
- By: James Langton
- March 14, 2006 March 14, 2006
- 16:50
Euston Capital, Schwartz appeal SFSC decision
Penalties excessive, parties argue
- By: IE Staff
- March 13, 2006 March 13, 2006
- 16:45
Merrill Lynch to pay US$2.5 million fine
Firm failed to produce e-mails promptly, SEC says
- By: James Langton
- March 13, 2006 March 13, 2006
- 16:25
Toronto stocks rise despite falling commodities
Dow posts triple-digit gain
- By: Rudy Mezzetta
- March 10, 2006 March 10, 2006
- 17:10
AMF files charges against Norbourg founder
Lacroix facing 51 charges
- By: James Langton
- March 10, 2006 March 10, 2006
- 13:45
Regulators release proposals on harmonized internal control reporting requirements
CSA to expand existing CEO/CFO certification
- By: James Langton
- March 10, 2006 March 10, 2006
- 10:30
SEC meetings to focus on giving investors, analysts better financial data
Roundtable series to build on interactive data pilot program
- By: James Langton
- March 9, 2006 March 9, 2006
- 16:10
IDA appeals decision by Saskatchewan regulator
SFSC misunderstood association’s authority over former members, IDA says
- By: James Langton
- March 9, 2006 March 9, 2006
- 11:15
Five new members appointed to ASC
Appointees include ex-Supreme Court justice
- By: IE Staff
- March 9, 2006 March 9, 2006
- 08:30
OSC adjourns hearing for Philip’s president
Hearing into criminal case pending
- By: IE Staff
- March 8, 2006 March 8, 2006
- 17:30
Macfarlane to retire from OSC
Search is on for new executive director
- By: James Langton
- March 8, 2006 March 8, 2006
- 15:20
EU threatens new regulation on securities clearing
Market players urged to remove barriers, draw up timetable for change
- By: James Langton
- March 7, 2006 March 7, 2006
- 13:50
Philip officers settle with OSC
Execs banned from acting as officers or directors
- By: IE Staff
- March 6, 2006 March 6, 2006
- 08:20
MFDA seeking candidates for regional councils
Nomination period closes March 31
- By: James Langton
- March 2, 2006 March 2, 2006
- 15:10