IDA board approves changes for trading in wholesale domestic debt markets
Policy made consistent with other regulations
- By: James Langton
- May 8, 2006 May 8, 2006
- 14:55
Latest news in From the Regulators
Ease internal control report rules, U.S. GAO says
SOX exemption for small companies not the way to proceed
- By: James Langton
- May 8, 2006 May 8, 2006
- 14:50
IDA suspends TD securities portfolio manager
Tobin fined $63,000
- By: IE Staff
- May 8, 2006 May 8, 2006
- 09:35
Bank of Canada official calls for uniform securities regulations
Regulators can increase efficiency, Canadian economy will flourish further with this measure
- By: James Langton
- May 8, 2006 May 8, 2006
- 07:25
Crawford Panel releases results of stakeholder input
Results obtained during a series of regional roundtables held earlier this year
- By: IE Staff
- May 4, 2006 May 4, 2006
- 12:54
Changes to Saskatchewan securities rule take effect June 1
The Saskatchewan Financial Services Commission reports that its Securities Amendment Act 2005 comes into force on June 1.The act will implement provisions to allow it…
- By: James Langton
- May 4, 2006 May 4, 2006
- 08:10
Alberta pension consultation draws 1,420 comments
Summary of comments released by Alberta Finance
- By: James Langton
- May 3, 2006 May 3, 2006
- 16:15
U.S., Chinese regulators to increase co-operation
SEC, CSRC announce terms for enhanced dialogue
- By: James Langton
- May 3, 2006 May 3, 2006
- 10:35
SEC cuts registration and transaction fees
Reduction will save companies US$1 billion
- By: James Langton
- May 3, 2006 May 3, 2006
- 09:10
CSA seeks comments on proposed national rule
New regulation would consolidate and harmonize takeover and issuer bid regime across Canada
- By: James Langton
- May 1, 2006 May 1, 2006
- 07:15
NBSC approves settlement agreement
Advisor to pay a penalty of $10,000
- By: James Langton
- April 27, 2006 April 27, 2006
- 08:56
IDA and RS announce merger approval
New entity to provide stronger, streamlined regulation
- By: IE Staff
- April 26, 2006 April 26, 2006
- 14:07
ASC finds quality of financial reporting acceptable
Even though minor deficiencies still exist, they did not detract from reports’ overall acceptability
- By: James Langton
- April 26, 2006 April 26, 2006
- 13:05
SEC working to improve disclosure for individual investors, Cox tells Congress
In his congressional testimony today, US Securities and Exchange Commission chairman, Christopher Cox, talked about the initiatives and priorities underway at the SEC to improve…
- By: James Langton
- April 25, 2006 April 25, 2006
- 15:45
Alberta proposes to consolidate securities transfer laws
Legislation would establish rules for electronic transfer
- By: James Langton
- April 25, 2006 April 25, 2006
- 15:35
Smaller companies seeking relief from SOX
Advisory committee recommends proportional regulatory regime
- By: James Langton
- April 25, 2006 April 25, 2006
- 14:45
FSCO alerts consumers to potential scams
Web site offers protection tips
- By: IE Staff
- April 25, 2006 April 25, 2006
- 13:40
OSC lays more charges against Portus executives
Regulator alleges Manor failed to meet duties as fund manager
- By: IE Staff
- April 25, 2006 April 25, 2006
- 10:35
IDA dismisses charges against former DS rep
Vancouver woman did not know how to properly answer questions on registration application forms
- By: IE Staff
- April 24, 2006 April 24, 2006
- 13:20
CSA issues clarification on pre-marketing of bought deals
Prospectus exemption does not extend to optioned securities
- By: James Langton
- April 24, 2006 April 24, 2006
- 07:10
Canada steps up assistance to combat the financing of terrorism
Will provide over $2 million to enhance the anti-terrorist financing capacities of Caribbean and Asian countries
- By: IE Staff
- April 21, 2006 April 21, 2006
- 11:15
Union Securities reaches settlement with RS
Firm to pay $150,000 for trade supervision and audit trail deficiencies
- By: IE Staff
- April 19, 2006 April 19, 2006
- 16:52
SEC settles with Compushare Canada
Transfer agent approved to administer stock purchase plans
- By: James Langton
- April 19, 2006 April 19, 2006
- 08:30
RS suspends Research Capital advisor
Gregorian to pay $55,260 for deceptive trading
- By: IE Staff
- April 18, 2006 April 18, 2006
- 15:48
IDA fines Union Securities $1 million for failing to implement compliance system
Former compliance officer banned
- By: IE Staff
- April 18, 2006 April 18, 2006
- 13:38