SEC study analyzes impact of market timing at U.S. fund giant
Redemptions outweighed trading losses at Putnam
- By: IE Staff
- March 3, 2005 March 3, 2005
- 16:10
Latest news in From the Regulators
ASC orders interim trading ban against Rundle Development
Calgary real estate developers alleged to have traded in securities without filing a prospectus or being registered
- By: IE Staff
- March 2, 2005 March 2, 2005
- 14:17
Identity Theft Index Canada: New survey
Canadians growing more concerned about identity theft
- By: IE Staff
- March 2, 2005 March 2, 2005
- 12:16
OSC schedules hearing for Franklin Templeton
Regulator to consider market timing settlement
- By: IE Staff
- February 28, 2005 February 28, 2005
- 10:35
No merger talks between RS and IDA
Media reports are false, says RS chairman
- By: James Langton
- February 28, 2005 February 28, 2005
- 08:30
OSC seeks comment MFDA investor protection fund
The Ontario Securities Commission is publishing for comment the revised application of the Mutual Fund Dealers Association of Canada for a contingency fund, known as…
- By: James Langton
- February 25, 2005 February 25, 2005
- 15:20
Financial Services OmbudsNetwork releases annual report
Most complaints resolved at the company level
- By: IE Staff
- February 24, 2005 February 24, 2005
- 15:50
Zurich Insurance facing charges from Quebec regulator
Quebec’s financial services regulator, the Autorité des marches financiers, is accusing Zurich Insurance Co. of violating the province’s Automobile Insurance Act.The AMF, which is bringing…
- By: IE Staff
- February 24, 2005 February 24, 2005
- 15:37
OSC announces membership of Small Business Advisory Committee
Blumberger to chair SBAC
- By: IE Staff
- February 23, 2005 February 23, 2005
- 10:45
MFDA schedules two disciplinary hearings
Reps in Saskatchewan, Ontario to face hearing panel
- By: IE Staff
- February 22, 2005 February 22, 2005
- 17:10
U.S. regulator spending more on information technology
Efforts will lead to greater compliance, report says
- By: IE Staff
- February 22, 2005 February 22, 2005
- 16:15
BCSC settles with New York-based FX firm
Forex Capital to pay $142,500 over unregistered trading
- By: IE Staff
- February 22, 2005 February 22, 2005
- 10:20
Ontario taking action on move to single regulator
Appoints panel to draft detailed design
- By: IE Staff
- February 21, 2005 February 21, 2005
- 08:20
U.S. fund giant faces charges of illegal payments to brokerages
NASD accuses American Funds of "directed brokerage"
- By: James Langton
- February 16, 2005 February 16, 2005
- 16:20
ASC releases findings of oil and gas disclosure reviews
Regulator says it is satisfied with compliance
- By: IE Staff
- February 16, 2005 February 16, 2005
- 15:50
Quebec issues temporary order against Portus
AMF action follows moves by other provinces
- By: James Langton
- February 16, 2005 February 16, 2005
- 11:10
Retail customer treatment improving, FSA says
Britain’s Financial Services Authority says it has seen some improvement in financial firms’ treatment of retail customers, but there is much more to do.Speaking to…
- By: IE Staff
- February 16, 2005 February 16, 2005
- 10:51
OSC extends ban against Portus, Manor
Temporary orders extended until May 17
- By: IE Staff
- February 15, 2005 February 15, 2005
- 17:10
Vancouver brokerage may face sanctions
Vancouver brokerage firm Salman Partners Inc. and three company officials are facing possible sanctions following a regulatory probe into alleged violations of equity trading rules.Market…
- By: IE Staff
- February 15, 2005 February 15, 2005
- 08:50
Directors called to help fight against illegal insider trading
Boards are responsible for oversight, says RS chief
- By: James Langton
- February 14, 2005 February 14, 2005
- 08:20
OSC adds terms to Portus temporary order
The Ontario Securities Commission on Friday issued a temporary order imposing further terms and conditions on the registration of Portus Alternative Asset Management Inc.The additional…
- By: IE Staff
- February 14, 2005 February 14, 2005
- 08:05
CSA mining committee seeks members
Applications due by March 1
- By: James Langton
- February 11, 2005 February 11, 2005
- 16:20
Ontario court affirms OSC’s jurisdiction over filing requirements
Authority to grant exemptions lies with securities commissions, not courts
- By: IE Staff
- February 11, 2005 February 11, 2005
- 11:45
CSA responds to comments on STP discussion paper
Regulators plan to have institutional trade-matching rule in force by start of 2006
- By: IE Staff
- February 11, 2005 February 11, 2005
- 11:10
BCSC ends action against Nova Scotia couple
Pair convicted of unregistered trading in securities
- By: IE Staff
- February 11, 2005 February 11, 2005
- 09:50