OSC issues warning on “phantom regulators”
Commission offers tips to investors
- By: IE Staff
- August 30, 2005 August 30, 2005
- 09:50
Latest news in From the Regulators
Wellington West wins one battle in broker raiding fight
Claims Nesbitt Burns had similar recruiting practice
- By: James Langton
- August 29, 2005 August 29, 2005
- 15:55
OSC settles with Eizenga in Saxton case
Promoter misled investors
- By: IE Staff
- August 29, 2005 August 29, 2005
- 15:40
Nine people charged, KPMG pays US$456 million to defer tax fraud charges
Largest criminal tax case ever filed in United States
- By: James Langton
- August 29, 2005 August 29, 2005
- 15:35
Quebec finance minister condones Norbourg shut-down
Will nominate administrator to protect remaining assets
- By: James Langton
- August 29, 2005 August 29, 2005
- 08:40
Regulators issue guidance on income trust disclosure of distributable cash estimates
CSA concerned that investors are receiving limited information on estimates
- By: James Langton
- August 26, 2005 August 26, 2005
- 10:30
IDA panel finds evidence of price fixing trading scheme in OTC market at Rampart
Penalties to be determined at hearing
- By: IE Staff
- August 26, 2005 August 26, 2005
- 10:10
CSA moves to implement passport system
OSC declines to participate
- By: James Langton
- August 26, 2005 August 26, 2005
- 09:20
Fediuk to face RS hearing
Hearing for alleged frontrunning scheduled for August 29
- By: James Langton
- August 25, 2005 August 25, 2005
- 17:50
Norbourg under investigation by AMF for alleged $70.7 million embezzlement
Regulator orders fund manager to cease business
- By: James Langton
- August 25, 2005 August 25, 2005
- 15:37
IDA appeal panel trims penalties handed out to LMV Canada, Paradis
LVM Canada fine cut to $20,000 from $40,000
- By: IE Staff
- August 24, 2005 August 24, 2005
- 12:50
MFDA bans fund salesman
Former Partners in Planning rep fined $185,000
- By: James Langton
- August 23, 2005 August 23, 2005
- 15:30
ASC gives reasons for striking down Tartan Energy poison pill
Says adoption of the shareholders rights plan could have undermined the predictability of the take-over bid process
- By: James Langton
- August 23, 2005 August 23, 2005
- 14:10
OSFI rescinds business practice standards
Standards for life insurance companies now obsolete, regulator says
- By: James Langton
- August 22, 2005 August 22, 2005
- 14:55
Ontario releases paper on funding of jointly sponsored DB pension plans
Identifies areas of conflict with Pension Benefit Act
- By: James Langton
- August 22, 2005 August 22, 2005
- 07:35
HSBC Securities settles with IDA over trading violations
Hearing scheduled for Wednesday
- By: IE Staff
- August 22, 2005 August 22, 2005
- 07:25
MFDA issues warning on investment loan ads
Says ads promote the merits of leveraging strategies while failing to mention risks
- By: James Langton
- August 18, 2005 August 18, 2005
- 15:10
Ontario seeks comment on cost of borrowing disclosure
Province looking to harmonize borrowing disclosure provisions with other jurisdictions
- By: James Langton
- August 17, 2005 August 17, 2005
- 16:15
OSC approves settlement with former Thomson Kernaghan CEO
Simpson permanently banned from registration
- By: IE Staff
- August 17, 2005 August 17, 2005
- 15:20
IDA fines former IPC Securities COO $40,000
A hearing panel of the Investment Dealers Association of Canada fined a former chief operating officer of IPC Securities Corp. $40,000 for failing to supervise…
- By: IE Staff
- August 17, 2005 August 17, 2005
- 13:35
IDA fines Vancouver broker $30,000
Global rep attempted to obstruct investigation
- By: IE Staff
- August 17, 2005 August 17, 2005
- 10:20
FSCO, AMF team up on complaint reporting
Goal is to reduce duplication and harmonize regulatory reporting
- By: James Langton
- August 17, 2005 August 17, 2005
- 09:20
OSC to review settlement with former Thomson Kernaghan CEO
Regulator alleges Simpson failed to supervise Valentine
- By: IE Staff
- August 15, 2005 August 15, 2005
- 16:30
Ottawa releases draft amendments to Income Tax act
Measures originally proposed in federal budget
- By: IE Staff
- August 15, 2005 August 15, 2005
- 13:20
Four brokers charged in “squawk box” case
Day trader paid brokers for live access to brokerage firms’ internal communications systems
- By: James Langton
- August 15, 2005 August 15, 2005
- 11:35