AMF files charges against Norbourg founder
Lacroix facing 51 charges
- By: James Langton
- March 10, 2006 March 10, 2006
- 13:45
Latest news in From the Regulators
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
IDA fines former CFG rep $30,000
Kim handed six-month suspension
- By: IE Staff
- March 2, 2006 March 2, 2006
- 12:15
Regulators seek comment on revised trade matching rule
Changes designed to ensure timely settlement of institutional trades
- By: James Langton
- March 2, 2006 March 2, 2006
- 10:45
OSC approves settlement with Newbury
Geological consultant had traded OntZinc shares in advance of acquisition disclosure
- By: IE Staff
- February 28, 2006 February 28, 2006
- 10:30
SEC applauds accounting standards action plan
Regulator working towards elimination of reconciliation of international financial reporting standards with U.S. GAAP
- By: James Langton
- February 28, 2006 February 28, 2006
- 08:20
Regulators approve changes to MDFA rules
Amendments clarify conflict of interest guidelines
- By: James Langton
- February 27, 2006 February 27, 2006
- 16:40
SEC chairman unaware of subpoenaed notes
The U.S. Securities and Exchange Commission indicated in a statement today that senior officials at the commission didn’t know that the agency had subpoenaed two…
- By: IE Staff
- February 27, 2006 February 27, 2006
- 14:30
OSC proposes changes to proficiency rules
The Ontario Securities Commission is proposing an amendment to the proficiency rules that would remove limits on the number of “restricted representatives” an investment dealer…
- By: James Langton
- February 27, 2006 February 27, 2006
- 08:35
Consider principles-based regulation: OSC chairman
Wilson speaks at Securities Superconference
- By: James Langton
- February 23, 2006 February 23, 2006
- 17:15
Quebec regulator suspends Champoux Froment
The Autorité des marchés financiers says it has suspended the registration of Champoux, Froment et associés inc. The AMF says that it made the move…
- By: James Langton
- February 23, 2006 February 23, 2006
- 17:00
Defendants settle in U.S. earnings scheme
Case goes back to manipulative accounting by Xerox in 1997-2000
- By: James Langton
- February 22, 2006 February 22, 2006
- 14:32
New law for Ontario mortgage brokers
Act aims to modernize regulation
- By: James Langton
- February 20, 2006 February 20, 2006
- 16:12
B.C. man ordered out of capital markets
Fined $5,000
- By: IE Staff
- February 20, 2006 February 20, 2006
- 10:26
OSC extends Fulcrum allegations
Reindorf, Dziadecki named by regulator
- By: IE Staff
- February 19, 2006 February 19, 2006
- 18:10
Room for improvement at OSFI: report
The Office of the Superintendent of Financial Institutions is doing a good job overall, but there is room for improvement, according to a report published…
- By: James Langton
- February 19, 2006 February 19, 2006
- 16:48