SEC approves MFS “shelf space” payment plan
Sun Life unit to pay investors US$50 million
- By: James Langton
- January 25, 2005 January 25, 2005
- 11:20
Latest news in From the Regulators
SEC approves MFS “shelf space” payment plan
Former tax promoter wins appeal against tax lawyer
Advice wrongfully given to competing client says BC Court
- By: Stewart Lewis
- January 24, 2005 January 24, 2005
- 08:35
CSA expects new corporate governance to be implemented this summer
Staff reviewing industry comments
- By: James Langton
- January 21, 2005 January 21, 2005
- 17:00
CSA issues guidance for pricing bitumen reserves
Will revisit pric-setting when market matures
- By: James Langton
- January 21, 2005 January 21, 2005
- 16:57
SOX requirement could mean more material weaknesses reported
Fitch says implementation of SOX 404 won’t be straightforward
- By: IE Staff
- January 20, 2005 January 20, 2005
- 15:37
Retail investors facing greater risks, FSA says
U.K. regulator to layout priorities
- By: James Langton
- January 19, 2005 January 19, 2005
- 13:23
Cease-trade database expands
Adds orders against firms and individuals
- By: James Langton
- January 18, 2005 January 18, 2005
- 13:22
Regulators approve amendments to UMIR disciplinary proceedings
OSC approves amendments to MFDA officer protection by-law
- By: James Langton
- January 17, 2005 January 17, 2005
- 08:45
NASD fines analyst US$75,000 for circulating rumour
Bearish rumour caused RF Micros shares to fall 10%
- By: James Langton
- January 17, 2005 January 17, 2005
- 08:30
CSA offers guidance on retirement benefits disclosure
Information on executive pensions most useful if found in proxy circular
- By: James Langton
- January 14, 2005 January 14, 2005
- 08:50
BCSC panel denies staff bid to stop offshore firms from trading in B.C.
Panel calls for new hearing
- By: IE Staff
- January 13, 2005 January 13, 2005
- 09:50
OSC drops court challenge
Releases 2000 audit critical of IDA
- By: James Langton
- January 12, 2005 January 12, 2005
- 14:10
NYSE announces disciplinary actions
Morgan Stanley to pay US$13 million penalty
- By: James Langton
- January 12, 2005 January 12, 2005
- 11:50
Further comment needed on proposed overhaul of SRO rules, says SEC
Comment period extended to March 8
- By: James Langton
- January 12, 2005 January 12, 2005
- 10:10
U.S. regulators fine Southwest US$10 million for improper fund trading
Three managers fined for failing to supervise brokers
- By: James Langton
- January 10, 2005 January 10, 2005
- 14:10
Firms must obtain signed agreements from all reps, MFDA says
Regulator issues warning on registration
- By: James Langton
- January 10, 2005 January 10, 2005
- 08:30
CSA proposes to streamline short form prospectus system
Improvements in continuous disclosure regime make changes possible
- By: James Langton
- January 7, 2005 January 7, 2005
- 10:50
B.C. advisor permanently banned
BCSC says Grafton misled investors
- By: IE Staff
- January 5, 2005 January 5, 2005
- 10:10
NASD collected more than US$102 million in fines in 2004
Regulator focused on fund sales practices, market-timing violations
- By: James Langton
- January 5, 2005 January 5, 2005
- 09:30
BCSC panel dismisses allegations against QuickEx
Evidence insufficient to prove breach of securities laws
- By: IE Staff
- January 4, 2005 January 4, 2005
- 14:10
Accounting rules shouldn’t prevent MER disclosure, says OSC
Disclosure doesn’t contradict letter or spirit of accounting recommendations
- By: James Langton
- January 4, 2005 January 4, 2005
- 11:50
OSC reaches settlement with former chair of Thomson Kernaghan
Valentine permanently prohibited from registration in Ontario; Consents to possible nation-wide ban
- By: IE Staff
- December 23, 2004 December 23, 2004
- 15:17
IOSCO releases conduct code for ratings agencies
Emphasizes disclosure
- By: IE Staff
- December 23, 2004 December 23, 2004
- 11:47
Simplified case process adopted by OSC
Less complicated cases to be dealt with swiftly says enforcement director
- By: IE Staff
- December 23, 2004 December 23, 2004
- 09:30
IDA panel upholds rep’s refusal to attend interview
A registered rep has won his argument before an Investment Dealers Association hearing panel over whether he should have to attend an investigative interview with…
- By: IE Staff
- December 22, 2004 December 22, 2004
- 16:37