Father and son team settle for close to $250,000
ASC's most significant sanction in insider trading to date
- By: IE Staff
- June 3, 2005 June 3, 2005
- 12:01
Latest news in From the Regulators
New Web site tracks Registration Reform Project
CSA aims to keep market players up to date on project
- By: IE Staff
- June 3, 2005 June 3, 2005
- 11:59
Two men banned from B.C. capital markets
Pair solicited funds with prospectus or registration
- By: IE Staff
- June 3, 2005 June 3, 2005
- 10:20
CSA extends comment period for internal control and ceritification rule
Deadline is now June 30
- By: James Langton
- June 3, 2005 June 3, 2005
- 08:15
RS chief executive calls for action to prevent trade-throughs
Tom Atkinson says new competition in equity markets has brought the issue to the front burner
- By: James Langton
- June 2, 2005 June 2, 2005
- 16:09
ASC prepares Securities Amendment Act
Proclamation expected by June 8
- By: James Langton
- June 2, 2005 June 2, 2005
- 15:41
Saskatchewan Financial Services Commission will begin examinations
Advisors and deposit agents to be regulated
- By: James Langton
- June 2, 2005 June 2, 2005
- 15:27
Norsheld hires RSM Richter as monitor
OSC hearing adjourned until July 8
- By: IE Staff
- June 2, 2005 June 2, 2005
- 13:44
California congressman nominated to head SEC
Christopher Cox is expected to favour less intrusive regulation than Bill Donaldson, who retires later this month
- By: IE Staff
- June 2, 2005 June 2, 2005
- 10:05
Ontario court orders new trial for investor seeking damages
Says small claims court judge erred in dismissing the case
- By: James Langton
- June 2, 2005 June 2, 2005
- 07:30
SEC chairman tenders resignation
Donaldson to leave at the end of June
- By: James Langton
- June 1, 2005 June 1, 2005
- 15:50
RS moves Fediuk hearing
Regulator will decide on allegations of frontrunning
- By: IE Staff
- June 1, 2005 June 1, 2005
- 13:43
Investors grill regulators at town hall meeting
OSC chairman David Brown says regulator may not have “placed sufficient emphasis on protecting the investor”
- By: Rudy Mezzetta
- June 1, 2005 June 1, 2005
- 11:15
SEC settles charges against Citigroup units
Citigroup Global Markets, Smith Barney Fund Management to pay US$208 million in penalties
- By: James Langton
- May 31, 2005 May 31, 2005
- 15:14
MFDA panel makes findings against Ontario rep
Sanctions for misconduct forthcoming
- By: IE Staff
- May 31, 2005 May 31, 2005
- 13:10
“Serious weaknesses” in Crocus operations, Manitoba AG says
Lack of oversight by board
- By: IE Staff
- May 30, 2005 May 30, 2005
- 15:50
RS announces July hearing for RBC DS
Regulators allege deceptive trading
- By: IE Staff
- May 30, 2005 May 30, 2005
- 15:35
OSC introduces changes in policy on issuer defaults
One notable change is expanding the number of reasons why reporting issuers may be in default
- May 30, 2005 May 30, 2005
- 07:35
CSA proposes new fund governance rule
Each publicly offered investment fund would have independent review committee
- By: James Langton
- May 27, 2005 May 27, 2005
- 11:50
OSC not supporting principal regulator system
It makes the playing field uneven and compromises investor protection
- By: James Langton
- May 27, 2005 May 27, 2005
- 11:46
Passport system of securities regulation is one step closer
Ontario is not part of the initiative; B.C. is concerned
- By: James Langton
- May 27, 2005 May 27, 2005
- 11:27
Committee struck to review Ontario’s commodity act
Staying current is important to Ontario’s capital markets, says minister
- By: James Langton
- May 26, 2005 May 26, 2005
- 15:50
Ontario court upholds OSC disciplinary powers
Dismisses appeal by Kyle and Derivative Services
- By: James Langton
- May 26, 2005 May 26, 2005
- 11:45
ASC pleased with court decision
The Alberta Securities Commission says it is pleased with a court decision concerning the Albera Auditor General’s planned audit of the ASC. On Tuesday, the…
- By: IE Staff
- May 26, 2005 May 26, 2005
- 09:50
CSA expands scope of proposed fund governance rule
BCSC exploring possible alternatives
- By: James Langton
- May 25, 2005 May 25, 2005
- 13:50