MFDA sets minimum standards for branch reviews
Program designed to detect potential problems
- By: James Langton
- September 23, 2005 September 23, 2005
- 16:20
Latest news in From the Regulators
OSC Securities Advisory Committee gets new blood
Six members joining SAC
- By: IE Staff
- September 23, 2005 September 23, 2005
- 14:45
Deficiencies found in fairness policies
OSC conducts money manager review
- By: James Langton
- September 23, 2005 September 23, 2005
- 14:30
OSC approves settlements with Affinity Financial and its principals
Regulator revokes registration, invokes permanent cease-trade orders
- By: IE Staff
- September 22, 2005 September 22, 2005
- 15:35
SEC extends SOX 404 compliance deadline
Small companies get another year
- By: James Langton
- September 22, 2005 September 22, 2005
- 14:40
Bank of Canada Governor calls for uniform securities laws
Dodge sees benefits in “tiered” approach to securities regulation
- By: James Langton
- September 22, 2005 September 22, 2005
- 13:50
Quebec regulator freezes @rgentum funds
Says no explanation given for substantial drop in assets
- By: James Langton
- September 21, 2005 September 21, 2005
- 07:30
Hollinger International insider agrees to 29-month fraud sentence
Radler to co-operate with U.S. authorities
- September 20, 2005 September 20, 2005
- 15:15
OSC to review settlement reached with Affinity Financial
Investor funds sent to U.S. disappeared
- By: IE Staff
- September 20, 2005 September 20, 2005
- 12:10
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
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