Latest news in From the Regulators

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

Quebec regulator seeking to suspend Kaufmann registration

AMF alleges firm was late in pay registration fees

By: James Langton
March 17, 2005 March 17, 2005
09:40

RS fines Desjardins Securities, two officers for violating trading rules

Penalties total $1.96 million

By: IE Staff
March 16, 2005 March 16, 2005
17:10

Alberta man settles with ASC over unregistered trading

Airdrie business man agrees to pay $20,000

By: IE Staff
March 16, 2005 March 16, 2005
13:40

MFDA issues reminder on compliance responsibilities

Says required reporting is incomplete at some firms

By: James Langton
March 16, 2005 March 16, 2005
13:10

Ebbers convicted of securities fraud

Sentencing set for June 13

By: IE Staff
March 15, 2005 March 15, 2005
16:41

Big banks expected to adopt Basel II, says Le Pan

OSFI is well positioned to implement new capital rules

By: James Langton
March 14, 2005 March 14, 2005
16:35

SEC adopts fund redemption fee rule

New rule governs short-term redemption fees

By: James Langton
March 14, 2005 March 14, 2005
16:25

OSC to examine Hollinger buy-back proposal

Hearing scheduled for March 21

By: IE Staff
March 14, 2005 March 14, 2005
08:50

Rule changes require cooperation with RS

Now an offence to impede regulator during investigation

By: IE Staff
March 11, 2005 March 11, 2005
13:43

AMF suspending insurance proficiency exam

Temporary moratorium stems from consultation with industry

By: James Langton
March 11, 2005 March 11, 2005
11:40

CSA issues harmonized continuous disclosure rules for investment funds

New rule replaces most existing local CD requirements

By: James Langton
March 11, 2005 March 11, 2005
10:30

Canadian version of Sarbanes-Oxley the toughest issue he’s had to face, OSC chairman says

Compliance costs will be substantial

By: James Langton
March 10, 2005 March 10, 2005
15:20

Continuous disclosure quality acceptable, ASC

In its latest report on the quality of continuous disclosure, the Alberta Securities Commission says disclosure is acceptable, but adds there is room for improvement.Companies…

By: IE Staff
March 10, 2005 March 10, 2005
12:45