MFDA issues compliance reminder
Securities must be sold through dealers
- By: James Langton
- May 25, 2005 May 25, 2005
- 08:10
Latest news in From the Regulators
OSC approves settlements with Buckingham officer, auditor
Former officer permanently barred from registration
- By: IE Staff
- May 24, 2005 May 24, 2005
- 14:30
Norshield registration suspended
Firm unable to adequately explain investment structure, regulator says
- By: IE Staff
- May 24, 2005 May 24, 2005
- 07:20
OSC signs off on MFDA agreement with Quebec regulators
Parties agree to co-ordinate regarding Quebec reps
- By: James Langton
- May 20, 2005 May 20, 2005
- 14:40
OSC to enhance oversight of limited market dealers
Compliance team to conduct on-site reviews
- By: James Langton
- May 20, 2005 May 20, 2005
- 13:55
MFDA offers guidance on “outside business activities”
Notice outlines “inappropriate” activities
- By: James Langton
- May 20, 2005 May 20, 2005
- 13:15
AMF issues cease-trade order for Olympus
Investor protection a primary concern, regulator says
- By: James Langton
- May 20, 2005 May 20, 2005
- 11:25
Regulators approve MFDA Investor Protection Fund
IPC to begin coverage on July 1
- By: James Langton
- May 20, 2005 May 20, 2005
- 09:50
SEC settles with former Saloman research executives
Pair penalized for failing to supervise analyst
- By: James Langton
- May 19, 2005 May 19, 2005
- 13:40
RS Toronto compliance staff back at full strength
Trade desk team gets new manager
- By: IE Staff
- May 19, 2005 May 19, 2005
- 12:25
ASC general counsel resigns
Horn to fill in for Hendrickson
- By: James Langton
- May 17, 2005 May 17, 2005
- 15:20
Task Force on spam presents final report
Report calls for new legislation
- By: IE Staff
- May 17, 2005 May 17, 2005
- 15:10
MFDA panel makes findings against TWC rep
Saskatchewan rep borrowed $250,000 from clients
- By: IE Staff
- May 17, 2005 May 17, 2005
- 13:10
OSC reinstates registration of Norshield
Olympus suspension remains in effect
- By: IE Staff
- May 16, 2005 May 16, 2005
- 16:10
OSC extends temporary orders against Portus
Hearing adjourned until September 16
- By: IE Staff
- May 16, 2005 May 16, 2005
- 14:10
OSC launches Webcast on investment fund dontinuous disclosure
Webcast covers N! 81-106
- By: IE Staff
- May 16, 2005 May 16, 2005
- 09:07
Regulators to consult on “trade-through” rule
Concept release planned for June
- By: IE Staff
- May 12, 2005 May 12, 2005
- 09:30
Man fined $5,500 for failing to file insider trading reports
OSC approves settlement with Popovic, Dxstorm
- By: IE Staff
- May 11, 2005 May 11, 2005
- 10:30
Advisors must take responsibility for investment recommendations, OSC chairman says
Onus on advisors to understand the products they sell
- By: Lara Hertel
- May 10, 2005 May 10, 2005
- 15:50
External panel says CPP financial stability conclusion “well-supported”
Britain’s Government Actuary's Department conducted review
- By: IE Staff
- May 9, 2005 May 9, 2005
- 15:55
Securities group advocates study of trading regulations
ICSA also endorses anti-money laundering provisions, and pledges support for campaign against terrorism
- May 9, 2005 May 9, 2005
- 07:35
CSA to examine compliance with audit committee rules
New rules outline duties and composition of committees
- By: IE Staff
- May 6, 2005 May 6, 2005
- 14:22
Oppenheimer & Co. facing multiple trading charges
NASD says former Fahnestock & Co. failed to report more than 6,100 municipal bond transactions
- By: IE Staff
- May 5, 2005 May 5, 2005
- 16:00
NASD seeking financial disclosure research
Education group asking for grant proposals “that will significantly improve the current disclosure regime”
- By: James Langton
- May 4, 2005 May 4, 2005
- 14:58
Moody’s sees improvements in corporate governance
Finds significant reforms in Canada and the U.S.
- By: IE Staff
- May 4, 2005 May 4, 2005
- 12:30