OSC approves distribution plans for $205.6 million fund probe settlement
Investors to receive payments sooner
- By: IE Staff
- June 30, 2005 June 30, 2005
- 15:10
Latest news in From the Regulators
SEC settles with KPMG Canada
Regulator finds auditing team lacked independence
- By: James Langton
- June 30, 2005 June 30, 2005
- 11:20
Government to review anti-money laundering rules
Releases consultation paper
- By: James Langton
- June 30, 2005 June 30, 2005
- 10:50
Court appoints Norshield receiver
RSM Richter to take control of all assets
- By: IE Staff
- June 30, 2005 June 30, 2005
- 07:25
SEC eliminates IPO quiet periods, but stands by mutual fund directors rule
Donaldson criticized for rushing re-adoption of rule
- By: James Langton
- June 29, 2005 June 29, 2005
- 18:10
OSC moves to protect small investors
Three proceedings launched
- By: IE Staff
- June 29, 2005 June 29, 2005
- 14:20
Ontario fund salesman fined $25,000
MFDA panel bans rep
- By: IE Staff
- June 29, 2005 June 29, 2005
- 13:20
OSC delivers report on Investor Town Hall
Regulator committed to insuring complaint process is comprehensible and accessible
- By: James Langton
- June 29, 2005 June 29, 2005
- 12:45
MFDA launches investor protection fund
Coverage starts July 1
- By: James Langton
- June 29, 2005 June 29, 2005
- 10:30
Citigroup fined by U.K. regulator
FSA says trading strategy disrupted bond markets
- By: James Langton
- June 29, 2005 June 29, 2005
- 07:20
National Cease Trade Order Database finds new home
Moves to CSA Web site
- By: IE Staff
- June 27, 2005 June 27, 2005
- 09:45
Governance group to focus on executive compensation
CCGG will work to improve link between pay and performance
- By: James Langton
- June 23, 2005 June 23, 2005
- 17:05
Bruno amends claim against Bay Street law firm
Alleges senior partner was active participant in investment scheme
- By: IE Staff
- June 23, 2005 June 23, 2005
- 14:45
AMF investigating Mount Real
Trading in firm’s shares halted June 20
- By: James Langton
- June 23, 2005 June 23, 2005
- 09:50
Assante rep fined for hiding involvement in resources firm
IDA reprimands Taylor
- By: IE Staff
- June 21, 2005 June 21, 2005
- 14:46
Court blocks SEC mutual fund rule
SEC did not satisfy the APA in implementing "corporate governance"
- By: James Langton
- June 21, 2005 June 21, 2005
- 14:12
No evidence of trading abuses by seg funds: report
Effective company controls in place, FSCO says
- By: James Langton
- June 20, 2005 June 20, 2005
- 16:40
OSC gets mixed signals on enforcement
Regulator sees broad support for review of SROs
- By: James Langton
- June 20, 2005 June 20, 2005
- 07:20
MFDA IPC finalizing $30 million line of credit
Coverage to start July 1
- By: James Langton
- June 17, 2005 June 17, 2005
- 17:16
New corporate governance rules
Guideline amendments will take effect on June 30
- By: James Langton
- June 17, 2005 June 17, 2005
- 16:13
SEC rescinds MarketXT’s registration
Electronic trading system consents to order, though admitting nothing
- By: James Langton
- June 17, 2005 June 17, 2005
- 16:02
BCSC finds promoter traded on inside information, manipulated market
Sanctions pending on Siddiqi
- By: IE Staff
- June 17, 2005 June 17, 2005
- 10:15
Court affirms NSSC jurisdiction over violation of SRO rules
N.S. Supreme Court issues reasons
- By: James Langton
- June 16, 2005 June 16, 2005
- 17:24
MFDA offers guidance on limited trading authorizations
April 2005 form clarified
- By: James Langton
- June 16, 2005 June 16, 2005
- 14:57