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
Latest news in From the Regulators
Ontario proposes eliminating capital tax
Budget measures bill introduced
- By: James Langton
- November 22, 2004 November 22, 2004
- 16:40
Ontario introduces legislation to implement secondary market disclosure
Goal is to improve investor protection
- By: James Langton
- November 22, 2004 November 22, 2004
- 16:10
NASD bars former investment banker for life
Quattrone is permanently banned from securities industry
- By: James Langton
- November 22, 2004 November 22, 2004
- 15:30
OSFI updates guidelines for identification of money laundering
Regulator warns firms to be wary of “introducers”
- By: James Langton
- November 22, 2004 November 22, 2004
- 13:50
B.C. delays introduction of new securities legislation, again
No target date set for proclamation
- By: James Langton
- November 22, 2004 November 22, 2004
- 10:15
MFDA issues enforcement activity update
239 cases opened during 2004
- By: James Langton
- November 22, 2004 November 22, 2004
- 08:30
SEC files charges against former eFunds COO
Canadian man consents to US$30,000 penalty
- By: James Langton
- November 19, 2004 November 19, 2004
- 16:10
OSC obtains interim order against von Anhalts
Lydia Mining shareholders meeting adjourned
- By: IE Staff
- November 19, 2004 November 19, 2004
- 15:10
CSA gives update on efforts to combat illegal insider trading
Regulator plans rule for handling of undisclosed material information
- By: James Langton
- November 19, 2004 November 19, 2004
- 14:35
OSC issues warning to fund dealers
Says omnibus account arrangements, joint service arrangements raise investor protection concerns
- By: James Langton
- November 19, 2004 November 19, 2004
- 14:10
OSC approves settlement with former Saxton vp
McGee receives 15-year cease trade order
- By: IE Staff
- November 19, 2004 November 19, 2004
- 11:50
SEC postpones acceleration of periodic report filing dates
Phase-in period delayed for one year
- By: James Langton
- November 18, 2004 November 18, 2004
- 11:30
OSC bans Pollitt president for 30 days for giving “heads up”
Pollitt & Co. agrees to pay $27,000
- By: IE Staff
- November 18, 2004 November 18, 2004
- 08:45
Manitoba order allowing fund dealers to trade deposit notes set to expire
No plans to extend order says MSC
- By: James Langton
- November 17, 2004 November 17, 2004
- 14:30
Pilgrim Baxter founders settle fund-trading charges
Executives ordered to pay US$160 million
- By: James Langton
- November 17, 2004 November 17, 2004
- 14:10
NASD submits recommendations on soft dollars to SEC
Task force calls for increased disclosure
- By: James Langton
- November 17, 2004 November 17, 2004
- 12:25
B.C. husband and wife banned for illegal distribution of securities
The British Columbia Securities Commission has banned a husband and wife from the securities market after they admitted to illegally distributing securities.Johnathan Lam Wai Tsang…
- By: IE Staff
- November 17, 2004 November 17, 2004
- 09:40
OSC approves settlement regarding Buckingham Securities
Former officer permanently barred from registration
- By: IE Staff
- November 16, 2004 November 16, 2004
- 15:50
OSC seeks to prevent von Anhalts from electing Lydia directors
Shareholders meeting scheduled for November 24
- By: IE Staff
- November 16, 2004 November 16, 2004
- 15:30
SEC files fraud charges against Conrad Black
The Securities and Exchange Commission announced today that it has filed an enforcement action against Conrad Black, foomer chairman and CEO of Hollinger, accusing him…
- By: James Langton
- November 15, 2004 November 15, 2004
- 15:50
CSA releases proposed Uniform Securities Transfer Act approved by USTA task force
Task force finds strong support from securities industry
- By: James Langton
- November 12, 2004 November 12, 2004
- 13:35
ASC proposes interim rule ahead of NI 81-106
Continuous disclosure and proxy solicitation requirements for investment funds to remain unchanged
- By: James Langton
- November 11, 2004 November 11, 2004
- 17:25
ASC reports net loss in fiscal 2005 second quarter
Revenues cut by deferred fee increase
- By: James Langton
- November 11, 2004 November 11, 2004
- 16:40
FSA calls for improved information security in fight against fraud
Says small and medium-sized firms are less well prepared
- By: James Langton
- November 11, 2004 November 11, 2004
- 16:40