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
Latest news in From the Regulators
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
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