RS announces July hearing for RBC DS
Regulators allege deceptive trading
- By: IE Staff
- May 30, 2005 May 30, 2005
- 15:35
Latest news in From the Regulators
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
MFDA issues compliance reminder
Securities must be sold through dealers
- By: James Langton
- May 25, 2005 May 25, 2005
- 08:10
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