Regulator to review Quebec P&C brokerage sector
AMF will seek public consultation on distribution, consumer issues
- By: James Langton
- July 14, 2005 July 14, 2005
- 16:20
Latest news in From the Regulators
RSM Richter to continue as Norshield receiver
Ontario court grants motion
- By: IE Staff
- July 14, 2005 July 14, 2005
- 15:40
Boosting automated bond trading
NYSE says regulatory proposal represents a win for retail bond investors
- By: James Langton
- July 14, 2005 July 14, 2005
- 10:12
BCSC orders company head to resign
Cachet CEO dmits to authorizing undocumented loans
- By: IE Staff
- July 14, 2005 July 14, 2005
- 08:40
SEC files civil suit against Ebbers
Regulator says this is sixth civil action in WorldCom fraud
- By: IE Staff
- July 13, 2005 July 13, 2005
- 16:04
UK regulator focuses on simplifying the rulebook
FSA wants to remove unnecessary rules and guidance
- By: James Langton
- July 13, 2005 July 13, 2005
- 10:14
NYSE dishes out sanctions for breaking the rules
Exchange disciplines four member firms and 15 individuals
- By: James Langton
- July 13, 2005 July 13, 2005
- 09:32
MFDA wants information on exempt securities, deposit instruments
Regulator will use information to identify potential regulatory problems
- By: James Langton
- July 12, 2005 July 12, 2005
- 15:44
Enforcement actions launched by CSA members down in second half of 2004
More cases resolved than in the first half of the year
- By: James Langton
- July 12, 2005 July 12, 2005
- 15:26
Royal Group under investigation by SEC
U.S. regulator looking at accounting practices
- By: IE Staff
- July 11, 2005 July 11, 2005
- 15:40
BCSC reprimands investment management firm
Toronto firm admits to advising clients in B.C. without being registered
- By: IE Staff
- July 8, 2005 July 8, 2005
- 12:30
New rule revamps prospectus and registration exemption requirements
CSA says rule will replace most existing local exemptions and consolidate others
- By: James Langton
- July 8, 2005 July 8, 2005
- 09:16
OSC cautions CP Ships about corporate disclosure, insider trading
Case centres on when firm should have disclosed to the public the need to restate earnings
- By: James Langton
- July 7, 2005 July 7, 2005
- 16:10
Four arrested on money laundering charges
RCMP allege Toronto firm laundered US$2 million in drug money
- By: IE Staff
- July 7, 2005 July 7, 2005
- 13:20
OSC reports reduced surplus for fiscal 2005
Rebate of fees to market participants largely responsible
- By: James Langton
- July 6, 2005 July 6, 2005
- 16:22
OSC extends temporary orders against Norshield and Olympus
Hearing adjourned until October
- By: IE Staff
- July 6, 2005 July 6, 2005
- 15:50
OSC approves settlement with unregistered trader
Hew ignored warning from regulator
- By: IE Staff
- July 6, 2005 July 6, 2005
- 15:30
Responsibilities of dealers engaging third party service providers clarified
MFDA says dealers must "satisfy themselves that the services will meet all applicable regulatory expectations"
- By: IE Staff
- July 6, 2005 July 6, 2005
- 13:57
MFDA issues referral arrangement warning
Regulator says some issuers and investment counsel marketing referral arrangements tied to specific securities to members
- By: James Langton
- July 5, 2005 July 5, 2005
- 13:45
MFDA panel issues Tonnies decision
TWC rep fined $350,000
- By: IE Staff
- July 5, 2005 July 5, 2005
- 10:55
FSCO to enhance risk-based regulatory approach
Statement of priorities also focuses on promoting coordinated national approach to regulatory issues
- By: IE Staff
- July 5, 2005 July 5, 2005
- 07:45
OSC adjourns Pender International hearing
Extends temporary cease trade orders
- By: IE Staff
- July 4, 2005 July 4, 2005
- 15:30
SEC issues “auto-trading” alert
Regulator files charges regarding allegedly misleading performance projections
- By: James Langton
- July 4, 2005 July 4, 2005
- 12:55
Uncertainty prompts new rule on takeover bid financing
Rule considered necessary in light of BNY Capital judgment, OSC says
- By: James Langton
- July 4, 2005 July 4, 2005
- 10:15
RSM Richter appointed Norshield receiver in Quebec
Quebec court recognizes Ontario order
- By: IE Staff
- June 30, 2005 June 30, 2005
- 15:10