Ontario taking action on move to single regulator
Appoints panel to draft detailed design
- By: IE Staff
- February 21, 2005 February 21, 2005
- 08:20
Latest news in From the Regulators
U.S. fund giant faces charges of illegal payments to brokerages
NASD accuses American Funds of "directed brokerage"
- By: James Langton
- February 16, 2005 February 16, 2005
- 16:20
ASC releases findings of oil and gas disclosure reviews
Regulator says it is satisfied with compliance
- By: IE Staff
- February 16, 2005 February 16, 2005
- 15:50
Quebec issues temporary order against Portus
AMF action follows moves by other provinces
- By: James Langton
- February 16, 2005 February 16, 2005
- 11:10
Retail customer treatment improving, FSA says
Britain’s Financial Services Authority says it has seen some improvement in financial firms’ treatment of retail customers, but there is much more to do.Speaking to…
- By: IE Staff
- February 16, 2005 February 16, 2005
- 10:51
OSC extends ban against Portus, Manor
Temporary orders extended until May 17
- By: IE Staff
- February 15, 2005 February 15, 2005
- 17:10
Vancouver brokerage may face sanctions
Vancouver brokerage firm Salman Partners Inc. and three company officials are facing possible sanctions following a regulatory probe into alleged violations of equity trading rules.Market…
- By: IE Staff
- February 15, 2005 February 15, 2005
- 08:50
Directors called to help fight against illegal insider trading
Boards are responsible for oversight, says RS chief
- By: James Langton
- February 14, 2005 February 14, 2005
- 08:20
OSC adds terms to Portus temporary order
The Ontario Securities Commission on Friday issued a temporary order imposing further terms and conditions on the registration of Portus Alternative Asset Management Inc.The additional…
- By: IE Staff
- February 14, 2005 February 14, 2005
- 08:05
CSA mining committee seeks members
Applications due by March 1
- By: James Langton
- February 11, 2005 February 11, 2005
- 16:20
Ontario court affirms OSC’s jurisdiction over filing requirements
Authority to grant exemptions lies with securities commissions, not courts
- By: IE Staff
- February 11, 2005 February 11, 2005
- 11:45
CSA responds to comments on STP discussion paper
Regulators plan to have institutional trade-matching rule in force by start of 2006
- By: IE Staff
- February 11, 2005 February 11, 2005
- 11:10
BCSC ends action against Nova Scotia couple
Pair convicted of unregistered trading in securities
- By: IE Staff
- February 11, 2005 February 11, 2005
- 09:50
ASC finds former Wolverton broker engaged in prohibited discretionary trading
Panel considering sanctions
- By: IE Staff
- February 10, 2005 February 10, 2005
- 13:50
SEC settles two more charges of market timing
Bank of American to pay US$375 million; Columbia to pay US$140 million
- By: James Langton
- February 9, 2005 February 9, 2005
- 16:30
Nasdaq employees didn’t report
suspicious trades, SEC says
Exchange, NASD agree to boost oversight
- By: James Langton
- February 9, 2005 February 9, 2005
- 16:15
Regulators consider expanding Portus suspension
Hearing scheduled for February 17
- By: James Langton
- February 9, 2005 February 9, 2005
- 11:45
Quebec court upholds AMF decision against RBC Life
Insurer liable for fraud committed by rep
- By: James Langton
- February 9, 2005 February 9, 2005
- 10:20
Regulation FD has unintended consequences: report
Selective disclosure rule raises cost of capital for small firms
- By: James Langton
- February 8, 2005 February 8, 2005
- 15:35
Electronic filing of monthly financial information now mandatory, MFDA says
Regulator no longer accepting paper monthly filings
- By: James Langton
- February 7, 2005 February 7, 2005
- 15:45
TD Waterhouse lawsuit to proceed to trial
Firm suing former broker and client
- By: James Langton
- February 7, 2005 February 7, 2005
- 08:20
IDA permanently bans Vancouver broker
Former Canaccord rep fined $80,000
- By: IE Staff
- February 7, 2005 February 7, 2005
- 08:10
CSA seeks input on “best execution” and “soft-dollar arrangement”
Consulation to determine whether any action is required
- By: James Langton
- February 4, 2005 February 4, 2005
- 15:40
CSA simplifies process for ceasing to be a reporting issuer
Applicants may qualify for exemptive relief
- By: IE Staff
- February 4, 2005 February 4, 2005
- 10:50
CSA seeks comment on internal control and certification rules
Measure aims to improve quality of financial statements
- By: James Langton
- February 4, 2005 February 4, 2005
- 10:20