OSFI report sets priorities through 2008
Regulator's plan includes ensuring own ability to respond to crisis
- By: James Langton
- March 29, 2005 March 29, 2005
- 16:09
Latest news in From the Regulators
The Directors College sets new standard with ethics code
Graduates must adhere to code to maintain chartered director designation
- By: IE Staff
- March 29, 2005 March 29, 2005
- 09:03
OSC decision casts doubt on Hollinger privatization
Regulator won't amend cease trade orders
- By: IE Staff
- March 28, 2005 March 28, 2005
- 14:10
OSC to consider settlement with ATI Technologies
Staff of the Ontario Securities Commission have announced a tentative settlement in a case involving ATI Technologies. However, there was no mention of a settlement…
- By: IE Staff
- March 28, 2005 March 28, 2005
- 13:30
FSCO to test revised investment monitoring model for pension plans
Selected plans to be contacted this spring
- By: James Langton
- March 28, 2005 March 28, 2005
- 08:35
SEC alleges Canadian of running “pump-and-dump” scheme
Alleges Bauer Partnership scheme raised US$1.5 million
- By: James Langton
- March 28, 2005 March 28, 2005
- 08:30
No interference in ASC enforcement
Record speaks for itself, director says
- By: IE Staff
- March 24, 2005 March 24, 2005
- 15:40
OSC extends KPMG as receiver of Portus
The Ontario Securities Commission today obtained a court order extending the appointment of KPMG Inc. as the receiver of all the property, undertaking and assets…
- By: IE Staff
- March 24, 2005 March 24, 2005
- 14:40
Outgoing ASC chairman under investigation
Allegations of interference in regulatory affairs
- By: IE Staff
- March 23, 2005 March 23, 2005
- 16:45
SEC settles with firms over fund sales practices
Putnam to pay US$40 million, Citigroup to pay US$20 million
- By: IE Staff
- March 23, 2005 March 23, 2005
- 16:40
Quebec man jailed for violating AMF order
The Quebec financial services regulator, Autorité des marchés financiers, reports that a man has been sent to prison for 10 days for violating the regulator’s…
- By: James Langton
- March 23, 2005 March 23, 2005
- 14:30
Former Jalna CEO settles with BCSC
Matthews failed to disclose investor relations payments
- By: IE Staff
- March 23, 2005 March 23, 2005
- 10:45
U.S. investigating Hollinger
Company confirms criminal investigation
- By: IE Staff
- March 23, 2005 March 23, 2005
- 09:15
Corporate Canada must use opportunity to shape new financial reporting requirements
ICAO, Ontario Chamber of Commerce to lead consultations
- By: IE Staff
- March 23, 2005 March 23, 2005
- 08:15
OSC appoints new commissioner
Carol Perry is a managing partner at MaxxCap Corporate Finance Inc.
- By: IE Staff
- March 22, 2005 March 22, 2005
- 16:40
Alberta rep fined for misappropriating client funds
Calgary woman given 10 year trading ban
- By: IE Staff
- March 22, 2005 March 22, 2005
- 16:40
Securities regulator fines Goldman Sachs unit US$1 million
Firm hid IPO allocations to preserve clients' anonymity
- By: IE Staff
- March 22, 2005 March 22, 2005
- 15:23
Bank of Canada to improve bond market transparency
Government continues to reduce fixed-rate share of debt
- By: James Langton
- March 22, 2005 March 22, 2005
- 08:55
FSCO proposes overhaul of mortgage broker industry
The Financial Services Commission of Ontario has issued a consultation draft that contemplates reform of the regulation of the mortgage brokerage industry.The consultation draft proposes…
- By: James Langton
- March 21, 2005 March 21, 2005
- 16:30
Time Warner settles with SEC over fraud charges
Will pay US$300 million and restate some results
- By: IE Staff
- March 21, 2005 March 21, 2005
- 15:50
Unitholder approval may not be necessary to close clone funds
CSA offers guidance on elimination of foreign property rule
- By: James Langton
- March 21, 2005 March 21, 2005
- 08:35
Black breached fiduciary duty to Hollinger, OSC says
Alleges Hollinger used as a vehicle to divert US$16.55 million from Hollinger International
- By: James Langton
- March 21, 2005 March 21, 2005
- 08:30
Competion Bureau appoints advisory panel
Panel will consider the treatment of efficiencies in Canada’s economy
- By: James Langton
- March 18, 2005 March 18, 2005
- 15:30
MFDA panel makes findings against former fund rep
In its first contested hearing, a panel of the Ontario Regional Council of the Mutual Fund Dealers Association today made findings against a former rep,…
- By: James Langton
- March 17, 2005 March 17, 2005
- 16:40
OSC releases report on mutual fund trading practices probe
Five sanctioned firms were the worst offenders, says Brown
- By: James Langton
- March 17, 2005 March 17, 2005
- 13:40