Compliance costs to rise in wake of market timing abuses
U.S. fund industry must now identify intermediaries
- By: James Langton
- September 20, 2005 September 20, 2005
- 10:50
Latest news in From the Regulators
Mutual Fund Dealers Association aims to clarify obligations of representatives
Reps operating under a joint code subject to all MFDA rules
- By: James Langton
- September 19, 2005 September 19, 2005
- 16:18
Passport model to improve interworkings of securities regulators takes effect in all provinces but Ontario
Hold-out province seeking a single national regulator
- By: James Langton
- September 19, 2005 September 19, 2005
- 16:01
Goodale asks McCallum to cease advance rulings on income trusts
Move could halt trust conversions until government decides how to proceed
- By: James Langton
- September 19, 2005 September 19, 2005
- 15:54
No prison for Coffin in sponsorship fraud
Community-based sentence of two-years-less-a-day
- By: IE Staff
- September 19, 2005 September 19, 2005
- 14:18
BC’s FICOM and FINTRAC join forces to fight money laundering and terrorist financing
Agencies agree to exchange compliance information
- By: IE Staff
- September 19, 2005 September 19, 2005
- 13:53
Former Tyco execs sentenced to up to 25 years in prison for looting company
Kozlowski, Swartz order to repay US$134 million in restitution
- By: IE Staff
- September 19, 2005 September 19, 2005
- 13:09
New Brunswick implements principal regulator system rule
Part of plan to streamline Canada’s regulatory framework
- By: James Langton
- September 19, 2005 September 19, 2005
- 10:07
Jory Capital Inc., Patrick Michael Cooney and Rees Merthyn Jones violated IDA by-laws, panel finds
$10,000 payout ignored early warning restrictions
- By: IE Staff
- September 16, 2005 September 16, 2005
- 13:07
OSC adjourns hearing for Boyle, Melnick and Malone
New hearing set for Oct. 27
- By: IE Staff
- September 16, 2005 September 16, 2005
- 12:45
CI allowed to fund one-time retention payment to IQON reps
OSC puts conditions on payment to subsidiary
- By: James Langton
- September 16, 2005 September 16, 2005
- 12:36
New Brunswick Securities Commission issues warning to investors
Advisory on opportunistic scams related to hurricane relief
- By: James Langton
- September 16, 2005 September 16, 2005
- 11:12
B.C., Alberta regulators release audit of Market Regulation Services
Performance mostly “satisfactory,” notes big drop in enforcement
- By: IE Staff
- September 16, 2005 September 16, 2005
- 09:58
Offshore companies illegally sold securities, B.C. Securities Commission rules
Bahamas-incorporated Corporate Express group violated securities laws
- By: IE Staff
- September 16, 2005 September 16, 2005
- 09:32
Quebec opposed to national securities regulator, says Finance Minister
Michel Audet addresses Montreal’s International Finance Club
- By: James Langton
- September 15, 2005 September 15, 2005
- 16:43
Nova Scotia Securities Commission to start passport system earlier than planned
Moves up implementation to Sept. 19
- By: James Langton
- September 15, 2005 September 15, 2005
- 16:24
W. David Wilson formally appointed new OSC chair
New job takes effect on Nov. 1
- By: IE Staff
- September 15, 2005 September 15, 2005
- 12:57
OSC extends temporary orders against Portus and Manor
Next hearing Dec. 16
- By: IE Staff
- September 14, 2005 September 14, 2005
- 16:03
CSA implements national prospectus and registration exemption rule
Long-awaited NI 45-106 to harmonize rules across Canada
- By: IE Staff
- September 14, 2005 September 14, 2005
- 11:11
B.C. Securities Commission fines mutual fund salesperson $250,000
Stealing clients’ money warrants maximum penalty
- By: IE Staff
- September 14, 2005 September 14, 2005
- 10:37
Quebec regulator freezes assets of Zenith Stable Value Growth Fund
Suspends advisor’s registration
- By: James Langton
- September 14, 2005 September 14, 2005
- 10:32
NASAA finds compliance lacking in regulatory sweep
323 of 367 examinations had at least one deficiency
- By: James Langton
- September 13, 2005 September 13, 2005
- 15:34
Patricia Struck named head of North American Securities Administrators Association
Administrator of Wisconsin division of securities to succeed Franklin Widmann
- By: James Langton
- September 13, 2005 September 13, 2005
- 15:28
B.C. Securities Commission overturns IDA panel decision
Rejects settlement with investment dealer manager
- By: IE Staff
- September 13, 2005 September 13, 2005
- 09:10
B.C. Securities Commission overturns IDA panel decision
Rejects settlement with investment dealer manager
- By: IE Staff
- September 13, 2005 September 13, 2005
- 09:10