OSC approves settlement with unregistered trader
Hew ignored warning from regulator
- By: IE Staff
- July 6, 2005 July 6, 2005
- 15:30
Latest news in From the Regulators
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
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
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