BCSC panel denies staff bid to stop offshore firms from trading in B.C.
Panel calls for new hearing
- By: IE Staff
- January 13, 2005 January 13, 2005
- 09:50
Latest news in From the Regulators
OSC drops court challenge
Releases 2000 audit critical of IDA
- By: James Langton
- January 12, 2005 January 12, 2005
- 14:10
NYSE announces disciplinary actions
Morgan Stanley to pay US$13 million penalty
- By: James Langton
- January 12, 2005 January 12, 2005
- 11:50
Further comment needed on proposed overhaul of SRO rules, says SEC
Comment period extended to March 8
- By: James Langton
- January 12, 2005 January 12, 2005
- 10:10
U.S. regulators fine Southwest US$10 million for improper fund trading
Three managers fined for failing to supervise brokers
- By: James Langton
- January 10, 2005 January 10, 2005
- 14:10
Firms must obtain signed agreements from all reps, MFDA says
Regulator issues warning on registration
- By: James Langton
- January 10, 2005 January 10, 2005
- 08:30
CSA proposes to streamline short form prospectus system
Improvements in continuous disclosure regime make changes possible
- By: James Langton
- January 7, 2005 January 7, 2005
- 10:50
B.C. advisor permanently banned
BCSC says Grafton misled investors
- By: IE Staff
- January 5, 2005 January 5, 2005
- 10:10
NASD collected more than US$102 million in fines in 2004
Regulator focused on fund sales practices, market-timing violations
- By: James Langton
- January 5, 2005 January 5, 2005
- 09:30
BCSC panel dismisses allegations against QuickEx
Evidence insufficient to prove breach of securities laws
- By: IE Staff
- January 4, 2005 January 4, 2005
- 14:10
Accounting rules shouldn’t prevent MER disclosure, says OSC
Disclosure doesn’t contradict letter or spirit of accounting recommendations
- By: James Langton
- January 4, 2005 January 4, 2005
- 11:50
OSC reaches settlement with former chair of Thomson Kernaghan
Valentine permanently prohibited from registration in Ontario; Consents to possible nation-wide ban
- By: IE Staff
- December 23, 2004 December 23, 2004
- 15:17
IOSCO releases conduct code for ratings agencies
Emphasizes disclosure
- By: IE Staff
- December 23, 2004 December 23, 2004
- 11:47
Simplified case process adopted by OSC
Less complicated cases to be dealt with swiftly says enforcement director
- By: IE Staff
- December 23, 2004 December 23, 2004
- 09:30
IDA panel upholds rep’s refusal to attend interview
A registered rep has won his argument before an Investment Dealers Association hearing panel over whether he should have to attend an investigative interview with…
- By: IE Staff
- December 22, 2004 December 22, 2004
- 16:37
Edward Jones agrees to US$75-million settlement
Edward D. Jones & Co. LP has agreed to pay US$75 million to settle allegations it failed to adequately disclose revenue-sharing payments received from a…
- By: James Langton
- December 22, 2004 December 22, 2004
- 15:43
Quebec gives AMF tougher enforcement powers
Regulator to penalties for late filings of insider reports
- By: IE Staff
- December 21, 2004 December 21, 2004
- 17:20
CIBC World Markets fined $700,000
RS alleges dealer failed to detect manipulative trading
- By: IE Staff
- December 21, 2004 December 21, 2004
- 15:45
MFDA clarifies rules on outsourcing
Regulator must be able to obtain records from service providers
- By: James Langton
- December 21, 2004 December 21, 2004
- 11:30
Former Philip Service exec charged in $28 million fraud
Waxman facing 12 counts of fraud
- By: James Langton
- December 20, 2004 December 20, 2004
- 16:50
BCSC reprimands investment management firm
Jarislowsky, Fraser agrees to pay registration fees
- By: IE Staff
- December 20, 2004 December 20, 2004
- 10:40
BCSC launches new Web site
The British Columbia Securities Commission has redesigned its Web site to give investors and industry better access to information and securities regulatory services, including resources…
- By: IE Staff
- December 20, 2004 December 20, 2004
- 09:55
Spots open on OSC small business committee
Strong interest in securities regulatory policy a must
- By: IE Staff
- December 19, 2004 December 19, 2004
- 08:40
CSA seeks comment on registration exemptions
New national rule harmonizes prospectus and registration exemptions
- By: IE Staff
- December 17, 2004 December 17, 2004
- 16:51
CSA issues continuous disclosure alert
Public comments on new national rule being reviewed
- By: IE Staff
- December 17, 2004 December 17, 2004
- 15:43