Regulators streamline short form prospectus system
New rule effective December 30
- By: IE Staff
- October 21, 2005 October 21, 2005
- 11:20
Latest news in From the Regulators
Rankin sentencing adjourned until October 27
Regulator seeking jail term of three to five years
- By: IE Staff
- October 20, 2005 October 20, 2005
- 07:50
Firms not required to report reps on short-term disability
Absent supervisors must be reported, regulators say
- By: James Langton
- October 19, 2005 October 19, 2005
- 15:30
RS fines two Dundee Securities supervisors
Pair failed to fully investigate manipulative trading practices
- By: IE Staff
- October 19, 2005 October 19, 2005
- 13:40
NASD fines Green Street US$150,000 for issuing research reports prepared by unregistered analysts
Analysts issued over 120 reports before taking and passing qualifying exams
- By: James Langton
- October 19, 2005 October 19, 2005
- 10:30
OSC to hold hearing into RRSP/loan scheme
Ochnik offered investors non-repayable loan if they collapsed their RRSPs
- By: IE Staff
- October 18, 2005 October 18, 2005
- 14:15
SEC settles with electronic exchanges
Instinet and Inet repeatedly published inaccurate monthly execution reports
- By: James Langton
- October 18, 2005 October 18, 2005
- 11:15
Ontario bars B.C. man from securities business
Court hands Eron Mortgage salesman three-year prison term
- By: IE Staff
- October 18, 2005 October 18, 2005
- 10:45
IDA imposes $30,000 fine on former Edward Jones rep
Petrossian handed 12-month suspension
- By: IE Staff
- October 17, 2005 October 17, 2005
- 14:15
ASC alleges Strategic Metals raised $36 million illegally
Regulators say $26.5 million moved offshore
- By: IE Staff
- October 17, 2005 October 17, 2005
- 12:55
Norbourg bankruptcy an obstacle, AMF admits
Says Lacroix has never co-operated with regulators
- By: James Langton
- October 17, 2005 October 17, 2005
- 07:35
OSC dismisses insider trading charges against ATI chairman
No evidence Ho knew ATI would fail to meet earnings forecasts
- By: IE Staff
- October 17, 2005 October 17, 2005
- 07:30
Regulators to share information on international financial reporting standards
Database will be ready by the second half of 2006
- By: James Langton
- October 14, 2005 October 14, 2005
- 14:30
IOSCO report outlines disclosure principles for international debt offerings
Regulators responding to increased volume of offerings
- By: James Langton
- October 14, 2005 October 14, 2005
- 14:08
Ontario men sold shares without being registered
The Ontario Securities Commission found that four men violated securities laws by selling shares in Andromeda Media Capital Corp. with out being registered.In a decision…
- By: IE Staff
- October 13, 2005 October 13, 2005
- 15:30
OSC extends schedule for forum on market structure developments
The public forum organized by the Ontario Securities Commission to solicit discussion on the Canadian Securities Administrators’ discussion paper on market structure developments and trade-through…
- By: IE Staff
- October 13, 2005 October 13, 2005
- 08:15
Broker agrees to five-year ban
U.S. rep helped hedge funds trade mutual funds after hours
- By: James Langton
- October 12, 2005 October 12, 2005
- 15:40
Goodale defends move to halt trust conversion advance rulings
Says decision on trusts will be made in the best interest of all stakeholders
- By: James Langton
- October 12, 2005 October 12, 2005
- 15:25
Lacroix seeking to lift freeze on Norbourg assets
AMF “strenuously” opposed to motion
- By: IE Staff
- October 12, 2005 October 12, 2005
- 10:15
NASD charges eight firms with directed brokerage violations
Imposes fines totalling more than US$7.75 million
- By: James Langton
- October 11, 2005 October 11, 2005
- 10:25
CSA release improved mining disclosure rules
Amendments to take effect at year end
- By: IE Staff
- October 7, 2005 October 7, 2005
- 10:30
OSC extends temporary orders against Norshield and Olympus
Protections remain in place
- By: IE Staff
- October 5, 2005 October 5, 2005
- 15:20
OSC commences proceedings against Portus
The Ontario Securities Commission today commenced proceedings against Portus Alternative Asset Management Inc., Portus Asset Management Inc., and Boaz Manor, the “chief architect” of Portus.OSC…
- By: IE Staff
- October 5, 2005 October 5, 2005
- 14:20
U.S. companies expect SOX costs to decline in second year: report
Smaller companies expect no cost savings
- By: James Langton
- October 5, 2005 October 5, 2005
- 13:40
Panel dismisses frontrunning charges against Salman trader
No clear proof that trader knew of client order
- By: IE Staff
- October 5, 2005 October 5, 2005
- 09:10