Securities groups pledge greater cross-border co-operation
IOSCO conference comes to end with “landmark decisions”
- By: James Langton
- April 7, 2005 April 7, 2005
- 14:46
Latest news in From the Regulators
Disclosure not enough, FSA says
Management of conflicts not the responsibility of the regulator
- By: James Langton
- April 7, 2005 April 7, 2005
- 10:51
NASD issues new products notice
Urges firms to improve their procedures for determining what constitutes new product
- By: James Langton
- April 6, 2005 April 6, 2005
- 16:08
SIA cheers SEC ruling on broker-dealers
Will allow broker-dealers to continue to provide broad array of investments to clients
- By: IE Staff
- April 6, 2005 April 6, 2005
- 16:02
SEC votes to adopt market reforms, in split decision
Goal is to ensure nvestors get best price on electronic trades
- By: IE Staff
- April 6, 2005 April 6, 2005
- 13:35
Creditor protection for RRSPs
Ontario court decision dealt only with plan proceeds following death of planholder
- By: IE Staff
- April 6, 2005 April 6, 2005
- 10:50
No action against former rep
Bourse’s jurisdiction didn’t extend after rep left industry
- By: IE Staff
- April 6, 2005 April 6, 2005
- 10:14
MSC sets date for Crocus hearing
LSIF reports $46 million decline in net asset value
- By: James Langton
- April 5, 2005 April 5, 2005
- 17:30
IDA, AMF seek to harmonize oversight of client complaints
Regulators to share information
- By: James Langton
- April 5, 2005 April 5, 2005
- 15:45
NASD plan for Web-based point-of-sale disclosure for funds gets backing
Securities Industry Association says plan an effective model for delivering information via the Internet
- By: James Langton
- April 5, 2005 April 5, 2005
- 11:42
Report clears ASC executives, Alberta finance minister says
Report based on allegations against ASC chair Stephen Sibold and executive director David Linder
- By: IE Staff
- April 5, 2005 April 5, 2005
- 09:26
SEC should consider Internet-based disclosure for fund sales
The NASD is recommending the Securities and Exchange Commission improve point of sale disclosure to mutual fund investors by mandating a new Internet-based disclosure document.The…
- By: IE Staff
- April 4, 2005 April 4, 2005
- 15:27
BCSC imposes bans, fines for investment fraud
Investors lost more than $2 million
- By: IE Staff
- April 4, 2005 April 4, 2005
- 14:25
Eisenberg named SEC’s acting director of division of investment management
Replacing previous director, Paul Roye
- By: IE Staff
- April 1, 2005 April 1, 2005
- 17:03
Market integrity rule amendments approved
Deal with manipulative and deceptive trading; take effect immediately
- By: James Langton
- April 1, 2005 April 1, 2005
- 16:50
Fund companies to get back $7.2 million from market-timing settlements
IDA says money, to be reimbursed to unitholders, is from trailer fees paid to brokerage firms by fund companies
- By: IE Staff
- April 1, 2005 April 1, 2005
- 14:44
AMF selects five projects for funding
Submissions open until April 30
- By: IE Staff
- March 31, 2005 March 31, 2005
- 16:54
Number of OSC staff earning $100,000+ up almost 30% over 2002, report shows
137 in 2004 vs 106 in 2002
- By: James Langton
- March 31, 2005 March 31, 2005
- 16:16
No “systemic” front-running uncovered in review, RS says
But there are gaps in rules
- By: James Langton
- March 31, 2005 March 31, 2005
- 13:08
British rules take aim at soft commissions, bundled brokerage arrangements
Greater transparency, fewer conflicts of interest the goal
- By: James Langton
- March 31, 2005 March 31, 2005
- 10:38
B.C. court dismisses privilege lawsuit
Granting privilege to lawyers when acting in course of their duties to clients is for public benefit, court says
- By: IE Staff
- March 30, 2005 March 30, 2005
- 16:51
ATI hearing adjourned to April 11
Chairman and others charged with insider trading
- By: IE Staff
- March 30, 2005 March 30, 2005
- 15:28
ATI Technologies to pay OSC $900,000
Insider-trading charges pending
- By: IE Staff
- March 29, 2005 March 29, 2005
- 17:30
MFDA releases reasons for market timing settlement
Regulatory panel considered several factors before accepting agreement with Investors Group
- By: James Langton
- March 29, 2005 March 29, 2005
- 16:49