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
Latest news in From the Regulators
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
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
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