NASD seeks comment on proposed fairness opinion rule
Detailed disclosure of conflicts of interest, tightening of procedures at issue
- By: James Langton
- November 11, 2004 November 11, 2004
- 16:30
Latest news in From the Regulators
Securities group likes SEC’s SRO governance plan
Current system of duplicative regulatory schemes means higher costs to investors, SIA says
- By: IE Staff
- November 10, 2004 November 10, 2004
- 13:05
U.K. regulator announces “soft dollar” policy update
FSA outlines which services may not be paid for from commissions
- By: IE Staff
- November 10, 2004 November 10, 2004
- 10:40
AMF loses bid to compel testimony
Quebec court upholds Girard defence
- By: James Langton
- November 10, 2004 November 10, 2004
- 09:20
NYSE clarifies plan to expand automatic order-execution service
Amendment filed with SEC
- By: IE Staff
- November 9, 2004 November 9, 2004
- 17:11
Brokerages required to file reports on CNQ short positions
RS sets deadline of December 1
- By: James Langton
- November 9, 2004 November 9, 2004
- 12:10
Quebec court orders man to co-operate with AMF investigation
Nadeau threatened with contempt of court charge
- By: James Langton
- November 8, 2004 November 8, 2004
- 11:10
OSC surplus jumps in fiscal 2004
Revenues $11.6 million higher than forecast
- By: James Langton
- November 8, 2004 November 8, 2004
- 08:40
MFDA maps out steps for exemptive relief applications
Regulatory Issues Committee responsible for ruling on applications
- By: James Langton
- November 5, 2004 November 5, 2004
- 16:20
OSC staff urge better disclosure of fees by LSIFs
Recommend continuing relief from sales practice rule
- By: James Langton
- November 5, 2004 November 5, 2004
- 15:40
SEDAR filing fees to change
Lower filing charges for mutual fund issuers effective January 1
- By: James Langton
- November 5, 2004 November 5, 2004
- 15:05
Securities industry must “rethink traditional practices”, says SEC chairman
Industry and regulators must work together, Donaldson says
- By: James Langton
- November 5, 2004 November 5, 2004
- 13:20
OSC approves settlement in sale of F.E.D.I. “desks”
Anderson receives reprimand
- By: IE Staff
- November 5, 2004 November 5, 2004
- 12:15
FCAC fines two financial institutions for violating consumer protection laws
FirstLine Mortgages; Laurentian Bank
- By: IE Staff
- November 5, 2004 November 5, 2004
- 11:45
U.K. regulator signs off on “basic advice” regime
New rules effective April 2005
- By: James Langton
- November 5, 2004 November 5, 2004
- 11:40
Wachovia agrees to US$37-million penalty
Payment to SEC relates to charges of proxy disclosure violations
- By: IE Staff
- November 4, 2004 November 4, 2004
- 15:08
FINTRAC steps up detection of money laundering, terrorist financing
Annual report tabled in Parliament
- By: IE Staff
- November 4, 2004 November 4, 2004
- 11:35
New UN Iraq regulations in place, says OSFI
Financial institutions still required to freeze Saddam Hussein assets
- By: James Langton
- November 3, 2004 November 3, 2004
- 16:40
AMF launches investor education fund
Quebec fund to support investor protection
- By: James Langton
- November 3, 2004 November 3, 2004
- 16:30
BCSC allows appeal of former ScotiaMcLeod broker
Carolann Steinhoff cleared of the IDA findings
- By: IE Staff
- November 2, 2004 November 2, 2004
- 17:16
Target date for new B.C. securities legislation pushed back
Effective date shifted to November 29
- By: James Langton
- November 2, 2004 November 2, 2004
- 15:40
MDFA clarifies power of attorney exemptions
Regulator to refuse paper filings of financial statements
- By: James Langton
- October 29, 2004 October 29, 2004
- 16:10
OSC seeking comment on revised governance rules
Regulator issues revised governance guidelines
- By: James Langton
- October 29, 2004 October 29, 2004
- 14:10
BCSC dismisses IDA application for penalty review
Says power to intervene “should be used sparingly”
- By: IE Staff
- October 29, 2004 October 29, 2004
- 09:30
TD Securities agrees to settlement with BCSC
Pays $50,000 “for acting contrary to the public interest”
- By: IE Staff
- October 28, 2004 October 28, 2004
- 09:47