NASD fines Citigroup unit US$250,000
Hedge fund sales materials included unsubstantiated claims, inadequate risk disclosure
- By: James Langton
- October 25, 2004 October 25, 2004
- 15:30
Latest news in From the Regulators
Regulators release guidelines for pension plan governance
Follows three years of consultation with stakeholders
- By: IE Staff
- October 25, 2004 October 25, 2004
- 12:50
OSC report finds poor disclosure of executive compensation
Regulator plans to issue further guidance
- By: James Langton
- October 22, 2004 October 22, 2004
- 13:10
Securities group calls for code of conduct for credit rating agencies
Would be designed to offer specific and detailed guidance
- By: James Langton
- October 22, 2004 October 22, 2004
- 12:40
CSA amendments to short-form prospectus rule finalized
Implementation date set for January
- By: James Langton
- October 22, 2004 October 22, 2004
- 07:30
OSC publishes guidelines for disclosure of investigations
Regulator outlines circumstances when investigations ought to be disclosed
- By: IE Staff
- October 21, 2004 October 21, 2004
- 10:15
BCSC bans trio in fallout from Tri-West prime bank fraud
New evidence establishes identities of fraud perpetrators
- By: IE Staff
- October 20, 2004 October 20, 2004
- 13:40
OSC adjourns ATI hearing
Insider trading inquiry to resume in March
- By: IE Staff
- October 20, 2004 October 20, 2004
- 09:10
Quebec firms can join NRD as of end of month
Autorité des marchés financiers sets out schedule about joining National Registration Database
- By: IE Staff
- October 19, 2004 October 19, 2004
- 09:56
OSC chairman welcomes Ontario SCFEA report
Says recommendations will improve investor confidence
- By: IE Staff
- October 19, 2004 October 19, 2004
- 07:35
Ontario government to review SCFEA report
Phillips non-committal on splitting off OSC adjudicative function
- By: James Langton
- October 19, 2004 October 19, 2004
- 07:25
Ottawa seeks comment on debt strategy
Consultation document outlines domestic debt programs
- By: James Langton
- October 18, 2004 October 18, 2004
- 16:15
CIBC World Markets wins exemption on proficiency requirements
Applies to previously registered reps, subject to conditions
- By: IE Staff
- October 15, 2004 October 15, 2004
- 13:51
Rule on internal control over financial reporting may be ready for comment by yearend
Would not take effect before June 30, 2006, CSA says
- By: IE Staff
- October 15, 2004 October 15, 2004
- 13:46
OSC issues disclosure policy for ongoing investigations
The Ontario Securities Commission has issued guidelines its staff should follow in disclosing the existence of ongoing investigations.Typically, the OSC does not publicly disclose the…
- By: James Langton
- October 15, 2004 October 15, 2004
- 12:00
Committee to recommend splitting out OSC’s adjudicative function: report
Ontario committee report on securities regulation due out Monday
- By: IE Staff
- October 15, 2004 October 15, 2004
- 09:41
Sibold to leave ASC in spring
Five-year term began in May 2000
- By: IE Staff
- October 15, 2004 October 15, 2004
- 08:28
OSFI sets out priorities, challenges
A number of “problem” financial institutions remain on OSFI watch list
- By: IE Staff
- October 14, 2004 October 14, 2004
- 15:50
Administrator to oversee funds from SEC trading violations
Money will eventually go back to injured customers
- By: IE Staff
- October 14, 2004 October 14, 2004
- 14:40
Spitzer targets insurance sector
New York Attorney General Eliot Spitzer Thursday unveiled a suit against insurance brokerage giant Marsh & McLennan Cos., and two insurance company executives, alleging fraud…
- By: IE Staff
- October 14, 2004 October 14, 2004
- 14:16
CRA reaches tentative accord with striking workers
PSAC to vote on proposed four-year agreement
- By: James Langton
- October 14, 2004 October 14, 2004
- 09:10
AMF files illegal insider trading charges against former Jitec CEO
Laliberté facing 48 counts
- By: James Langton
- October 12, 2004 October 12, 2004
- 09:10
Former Invesco CEO fined US$500,000
Invesco, AIM Investments formalize US$375 million deal to settle SEC charges
- By: IE Staff
- October 8, 2004 October 8, 2004
- 14:10
UBS Securities Canada fined $2 million for “double printing”
RS panel approves settlement
- By: James Langton
- October 8, 2004 October 8, 2004
- 11:10
Improve efficiency of capital markets, Dodge says
Global consolidation of financial services presents an on going challenge
- By: James Langton
- October 8, 2004 October 8, 2004
- 07:55