Cross-border debit card a success for TD Canada Trust
Volumes expected to increase significantly
- By: IE Staff
- December 16, 2004 December 16, 2004
- 10:20
Latest news in From the Regulators
OSC to settle with AIC over market timing activities
Hearing with four fund companies scheduled for Thursday
- By: IE Staff
- December 15, 2004 December 15, 2004
- 08:20
OSC approves settlement with former ATI counsel
Daub did not intentionally mislead OSC staff
- By: IE Staff
- December 14, 2004 December 14, 2004
- 15:40
OSFI issues guideline on “source of earnings” disclosure
SOE disclosure intended to supplement existing accounting rules
- By: James Langton
- December 14, 2004 December 14, 2004
- 11:50
OSC to consider market timing settlements
Hearing scheduled for Thursday
- By: IE Staff
- December 13, 2004 December 13, 2004
- 11:50
CSA issues first bi-annual report on enforcement activity
Record sends “strong message of deterrence” to investment community
- By: James Langton
- December 10, 2004 December 10, 2004
- 15:45
CIBC given relief in reorganization
CIBC Financial Planning subsidiary being wound up, moved into CIBC Investor Services
- By: IE Staff
- December 10, 2004 December 10, 2004
- 12:45
Canadian Securities Administrators publishes revised schedule
Reflects holiday closures across country
- By: IE Staff
- December 10, 2004 December 10, 2004
- 11:40
Canada needs uniform securities laws, says Dodge
Efficient financial system key to continuing prosperity
- By: James Langton
- December 9, 2004 December 9, 2004
- 16:10
FSCO restructures insurance divisions
Market conduct activities being consolidated
- By: IE Staff
- December 9, 2004 December 9, 2004
- 15:54
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