FSCO invites comments on list for priorities
Regulator to focus on point of sale disclosure for investment funds
- By: James Langton
- April 19, 2005 April 19, 2005
- 10:50
Latest news in From the Regulators
OSC imposes permanent ban on mutual fund rep
Calls Montpellier’s actions “conspicuously offensive”
- By: IE Staff
- April 18, 2005 April 18, 2005
- 15:55
CSA launches national registration system
Firms and individuals can now register with just one regulator
- By: IE Staff
- April 18, 2005 April 18, 2005
- 09:50
OSC approves TSX governance measures
Ontario regulators approved new corporate governance measures proposed by the TSX group today, and published a series governance-related rules for comment.The Ontario Securities Commission reported…
- By: James Langton
- April 18, 2005 April 18, 2005
- 07:40
Electronic audit initiative making progress
Six vendors selected for TREATS RFP
- By: IE Staff
- April 18, 2005 April 18, 2005
- 07:20
MFDA issues guidance on trading authorizations
New authorization forms to be implemented by April 2006
- By: James Langton
- April 15, 2005 April 15, 2005
- 16:25
SEC to ease transition by foreign registrants to IFRS
Will help adopt International Financial Reporting Standards
- By: IE Staff
- April 14, 2005 April 14, 2005
- 15:56
Financial crime fighting requires more resources
Federal report makes six recommendations, including maintaining FINTRAC funding
- By: James Langton
- April 14, 2005 April 14, 2005
- 12:05
SEC enforcement chief steps down
Stephen Cutler oversaw agency's investigations of some of the largest financial reporting failures in history
- By: James Langton
- April 14, 2005 April 14, 2005
- 10:28
OECD launches governance initiative
Forms international group to look into improving effectiveness of boards of directors
- By: James Langton
- April 14, 2005 April 14, 2005
- 09:51
OSFI gets power to impose monetary penalties
New regulations to replace current filing penalties
- By: James Langton
- April 13, 2005 April 13, 2005
- 15:21
Canada, U.S. investor protection groups sign co-operation agreement
The Canadian Investor Protection Fund has signed a mutual cooperation agreement with its U.S. counterpart, the Securities Investor Protection Corp.The CIPF, which maintains a fund…
- By: IE Staff
- April 13, 2005 April 13, 2005
- 14:39
NYSE sanctions specialist traders
Fleet Securities fined US$100,000
- By: James Langton
- April 13, 2005 April 13, 2005
- 11:10
Former NYSE specialist members charged with securities fraud
Stem from investigations by U.S. Attorney’s Office, SEC
- By: James Langton
- April 12, 2005 April 12, 2005
- 16:16
FSCO publishes LRIF policy
The Financial Services Commission of Ontario has published a policy governing Ontario Locked-In Retirement Income Funds. FSCO notes that pension legislation provides that a former…
- By: IE Staff
- April 12, 2005 April 12, 2005
- 14:26
OSFI gets high marks as regulator
Survey shows 92% satisfaction rating, up three points from 2002
- By: IE Staff
- April 12, 2005 April 12, 2005
- 14:12
NYSE charged with failing to police specialists
Agrees to settlement with SEC
- By: James Langton
- April 12, 2005 April 12, 2005
- 10:51
OSC approves settlement with ex-ATI investor relations officer
Chang, spouse to pay $1.5 million to settle insider trading charges
- By: IE Staff
- April 12, 2005 April 12, 2005
- 07:50
ASC part-time commissioners issue vote of confidence
Back ASC execs Sibold and Linder
- By: IE Staff
- April 8, 2005 April 8, 2005
- 16:07
OSC exempts TradeWeb
The Ontario Securities Commission has granted an exemption to TradeWeb LLC, allowing it to register as an international dealer without following the requirement that it…
- By: IE Staff
- April 8, 2005 April 8, 2005
- 16:01
Nova Scotia to sign on to capital pool company agreement
Amended deal replaces 2002 version
- By: IE Staff
- April 8, 2005 April 8, 2005
- 14:48
CDS seeks to update recognition order
Clearing agency designation unchanged since issued in 1997
- By: IE Staff
- April 8, 2005 April 8, 2005
- 14:17
CSA launches National Registration System
Will simplify process for firms and individuals, CSA says
- By: IE Staff
- April 8, 2005 April 8, 2005
- 12:06
Rule changes will ensure fair application of trade-through protection, RS says
Move follows SEC decision to do same to the NASDAQ
- By: James Langton
- April 8, 2005 April 8, 2005
- 11:54
SEC issues notice about prohibited conduct by underwriters
Attempts to induce aftermarket purchases during restricted period are prohibited, SEC reminds industry
- By: IE Staff
- April 7, 2005 April 7, 2005
- 15:03