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
Latest news in From the Regulators
OSFI touts role in contributing to public confidence
Regulator releases annual report
- By: IE Staff
- October 7, 2004 October 7, 2004
- 13:10
Regulators trim fee relief to market makers
Exemptions limited to 70% reduction
- By: IE Staff
- October 7, 2004 October 7, 2004
- 12:40
Corporate governance improving: survey
Executive compensation remains an area of concern
- By: James Langton
- October 6, 2004 October 6, 2004
- 16:10
ASC charges man with breaching cease-trade orders
Alleges Seto traded in securities of Genoray
- By: IE Staff
- October 6, 2004 October 6, 2004
- 14:50
Universal Market Integrity Rules under review
RS seeking public comment
- By: IE Staff
- October 4, 2004 October 4, 2004
- 15:35
NASD sanctions 18 firms for OATS violations
SG Cowen fined US$800,000 for failing to report millions of orders
- By: James Langton
- October 4, 2004 October 4, 2004
- 15:10
NASAA installs new president, board of directors
Widmann urges industry, regulators to focus priorities to help investors regain confidence
- By: James Langton
- October 4, 2004 October 4, 2004
- 14:40
NASAA sweep identifies most common advisor problems
Regulators propose best practices to help advisors develop compliance practices and procedures
- By: James Langton
- October 4, 2004 October 4, 2004
- 13:10
MFDA proposes changes to enforcement process
Regulator seeks to make hearings more cost-effective
- By: James Langton
- October 1, 2004 October 1, 2004
- 15:30
Financial markets need to be made more transparent
Huge task ahead to educate investors says FSA chairman
- By: James Langton
- October 1, 2004 October 1, 2004
- 13:55
OSC staff in discussions with four fund managers
No evidence found of market timing by insiders
- By: IE Staff
- October 1, 2004 October 1, 2004
- 11:20
Provinces pledge to adopt passport model
Ontario declines to sign memorandum
- By: James Langton
- September 30, 2004 September 30, 2004
- 15:30
SEC files fraud charges against Raymond James
Alleges firm failed to supervise broker
- By: IE Staff
- September 30, 2004 September 30, 2004
- 14:30
MFDA announces members of policy committee
Lake to chair PAC
- By: James Langton
- September 30, 2004 September 30, 2004
- 10:30
FSCO policy sets out procedures for distributing pension surpluses
Policy outlines transfer of surplus to employers on full plan wind up
- By: James Langton
- September 29, 2004 September 29, 2004
- 07:45
“Passport” deal to be signed
Ministers meeting Thursday in Calgary
- By: James Langton
- September 28, 2004 September 28, 2004
- 14:32
ASC voices concern over proposed Fair Dealing Model
Industry players consulted by the Alberta Securities Commission believe the Fair Dealing Model (FDM) proposed by the Ontario Securities Commission is unworkable and unjustified.In a…
- By: James Langton
- September 27, 2004 September 27, 2004
- 15:40
Fitch, Moody’s opinions to be added to NASD rating content
Ratings to be incorporated into TRACE system
- By: IE Staff
- September 27, 2004 September 27, 2004
- 12:55
CSA releases comments received on USL Project
Bulk of comments express support
- By: James Langton
- September 24, 2004 September 24, 2004
- 11:55
Montreal broker fined for misappropriating client funds
Thomas J. Hunt also permanently prohibited from approval
- By: IE Staff
- September 24, 2004 September 24, 2004
- 09:34
ASC expands powers, duties of directors
New powers support continuous disclosure regime
- By: IE Staff
- September 23, 2004 September 23, 2004
- 15:25
SEC approves NASD compliance rule
U.S. securities firms must designate chief compliance officer
- By: IE Staff
- September 23, 2004 September 23, 2004
- 14:45
SEC outlines restitution plans for MFS penalties
Each fund to receive proportionate share of payments
- By: IE Staff
- September 23, 2004 September 23, 2004
- 08:10
AMF to join National Registration Database
Quebec enrolment deadline set for January 1
- By: IE Staff
- September 21, 2004 September 21, 2004
- 15:50