FSCO restructures insurance divisions
Market conduct activities being consolidated
- By: IE Staff
- December 9, 2004 December 9, 2004
- 15:54
Latest news in From the Regulators
FSCO restructures insurance divisions
NYSE cracks down on rule breakers
Canadian man censured by exchange
- By: IE Staff
- December 8, 2004 December 8, 2004
- 13:20
Attempt to block NSC pension transfer fails
Ontario court says Aegon ruling does not apply
- By: James Langton
- December 8, 2004 December 8, 2004
- 10:11
MFDA appoints three new industry directors
Glaab, Hockin and Wood get two-year terms
- By: James Langton
- December 7, 2004 December 7, 2004
- 13:10
FSCO outlines new criteria for pension mergers
Changes stem from Transamerica court decision
- By: James Langton
- December 7, 2004 December 7, 2004
- 08:35
BCSC reprimands KCM Wealth Management
Mastracci to pay $5,000
- By: IE Staff
- December 6, 2004 December 6, 2004
- 11:10
CSA proposes changes to shareholder communication rule
CSA proposes changes to shareholder communication rule
- By: James Langton
- December 3, 2004 December 3, 2004
- 16:10
CSFB to pay $1.5 million for off-marketplace trades of BCE shares
Firm harmed market integrity, efficiency, says RS
- By: IE Staff
- December 3, 2004 December 3, 2004
- 11:20
New policy on income trusts in effect, CSA says
A new national policy dealing with income trusts takes effect immediately, the Canadian Securities Administrators said Friday. The CSA said it has adopted National Policy…
- By: IE Staff
- December 3, 2004 December 3, 2004
- 10:40
IDA issues reminder on new SEC short-selling rules
Regulation SHO now in effect
- By: James Langton
- December 2, 2004 December 2, 2004
- 16:30
MFDA outlines procedures for disciplinary hearings
Respondents entitled to representation by counsel
- By: James Langton
- December 2, 2004 December 2, 2004
- 16:15
IDA fines Vancouver broker $5,000
Gee admits to forging client's signature
- By: IE Staff
- December 2, 2004 December 2, 2004
- 14:20
BCSC reports complaints about tax letters
Lottery scam using Vancouver address
- By: IE Staff
- December 2, 2004 December 2, 2004
- 11:10
B.C. court dismisses reverse mortgage suit
Court can't protect couple from “act of folly”
- By: James Langton
- December 2, 2004 December 2, 2004
- 10:10
Fund, investment dealers ordered to submit plans for unwinding joint service agreements
Plans must be filed by January 31
- By: James Langton
- November 30, 2004 November 30, 2004
- 16:55
AIG settles fraud charges for US$126 million
Insurance firm appoints independent monitor
- By: James Langton
- November 30, 2004 November 30, 2004
- 16:30
NASD fines 29 brokerages US$9.2 million for late filings
Merrill Lynch, Wachovia temporarily suspended from registering new brokers
- By: James Langton
- November 30, 2004 November 30, 2004
- 14:10
AMF names committee members to oversee investor education fund
Committee to review applications for funding
- By: James Langton
- November 29, 2004 November 29, 2004
- 15:40
OSC appoints new members to advisory committee
Seven members joining in January
- By: James Langton
- November 26, 2004 November 26, 2004
- 13:20
Regulators propose changes to rule requiring certification of financial filings
Amendments would give firms more time
- By: James Langton
- November 26, 2004 November 26, 2004
- 11:40
Pension plans must act to ensure solvency, says OSFI head
Too many detailed rules can be counter productive, regulator says
- By: James Langton
- November 25, 2004 November 25, 2004
- 15:10
OSFI issues revised guideline on asset securitization
New guideline in effect for fiscal 2005
- By: James Langton
- November 23, 2004 November 23, 2004
- 17:20
U.K. regulator tells banks to treat customers fairly
FSA concerned about the treatment of consumers
- By: James Langton
- November 23, 2004 November 23, 2004
- 15:10
Dealers must review reps’ web sites for compliance, says MFDA
Regulator finds many deficiencies
- By: James Langton
- November 23, 2004 November 23, 2004
- 09:30