CSA releases list of questions about investment fund disclosure rules
FAQ designed to assist fund companies
- By: James Langton
- November 25, 2005 November 25, 2005
- 15:35
Latest news in From the Regulators
IDA bans Calgary broker for life
Research Capital rep fined $40,000
- By: IE Staff
- November 24, 2005 November 24, 2005
- 12:40
Vancouver broker fined $25,000
IDA suspends Boscoe for unprofessional conduct
- By: IE Staff
- November 24, 2005 November 24, 2005
- 11:15
Income trust decision announced by Goodale
Feds to cut dividend tax rates, resume rulings on trust conversions
- By: James Langton
- November 23, 2005 November 23, 2005
- 18:10
More firms added to Mount Real freeze order
Move designed to protect investors, Quebec regulators say
- By: IE Staff
- November 23, 2005 November 23, 2005
- 16:25
Saskatchewan regulator to get additional powers
Securities Amendment Act given first reading
- By: James Langton
- November 23, 2005 November 23, 2005
- 16:15
NASD fines State Street US$1.4 million for bond trade reporting violations
Largest fine to date for fixed income trade reporting violations
- By: James Langton
- November 22, 2005 November 22, 2005
- 16:40
SEC looking to update EDGAR filing system
Regulator looking for software partners to make information interactive
- By: James Langton
- November 22, 2005 November 22, 2005
- 16:30
AMF head discusses regulatory measures for P&C industry
New rules to focus on disclosure of ties between brokers and insurers
- By: James Langton
- November 22, 2005 November 22, 2005
- 11:10
U.S. regulator investigating possible SRO for futures industry
CFTC seeking public comment on range of SRO issues
- By: James Langton
- November 21, 2005 November 21, 2005
- 16:35
OSC settles with former Findore officers, brokers
Former president made hundreds of trades in company’s shares
- By: IE Staff
- November 21, 2005 November 21, 2005
- 15:20
Former Edward Jones handed $30,000 fine
IDA imposes one year suspension
- By: IE Staff
- November 21, 2005 November 21, 2005
- 12:30
IDA imposes five-year ban on Octagon rep
Leung fined $100,000 for involvement in RRSP scheme
- By: IE Staff
- November 21, 2005 November 21, 2005
- 10:50
Bill 18 proposes additional powers for OSC
Regulator would get authority to make corporate governance rules
- By: James Langton
- November 18, 2005 November 18, 2005
- 15:40
Passport model to be strengthened: report
Securities regulators issue update on harmonization process
- By: James Langton
- November 17, 2005 November 17, 2005
- 16:40
Black indicted on criminal fraud charges
Former Hollinger International CEO charged with cheating shareholders
- By: James Langton
- November 17, 2005 November 17, 2005
- 16:35
Securities regulators to host forum on naked short selling
The North American Securities Administrators Association Inc. today announced plans to host a public forum to explore possible market manipulation through naked short selling activity.Naked…
- By: James Langton
- November 17, 2005 November 17, 2005
- 16:10
Hedge funds the new frontier for regulators, says OSC chairman
The Ontario Securities Commission will be looking to step up the regulation of hedge funds, and protect the interests of small investors, said David Wilson…
- By: James Langton
- November 17, 2005 November 17, 2005
- 11:30
Court appoints receiver for @rgentum
A. John Page to take control of assets
- By: IE Staff
- November 16, 2005 November 16, 2005
- 16:45
AMF takes over administration of La Vigilance
Regulator concerned with insurer’s financial position
- By: James Langton
- November 16, 2005 November 16, 2005
- 12:55
NYSE Regulation fines Schwab US$1 million
Dealer failed to supervise and protect customer assets
- By: James Langton
- November 15, 2005 November 15, 2005
- 10:20
OSC launches webcast on prospectus and registration exemptions
Presentation explains changes to the exemption regime
- By: IE Staff
- November 14, 2005 November 14, 2005
- 13:30
Judge allows OSC to freeze Fraleigh’s accounts
Accounts at Dundee Securities frozen until March 31
- By: IE Staff
- November 14, 2005 November 14, 2005
- 12:30
TD Waterhouse settles with BCSC
Dealer violated cease trade orders
- By: IE Staff
- November 14, 2005 November 14, 2005
- 11:30
OSC to seek extension to Fraleigh account freeze
Investigation into trading of Place Dome securities continues
- By: IE Staff
- November 14, 2005 November 14, 2005
- 08:35