AIG settles fraud charges for US$126 million
Insurance firm appoints independent monitor
- By: James Langton
- November 30, 2004 November 30, 2004
- 16:30
Latest news in From the Regulators
NASD fines 29 brokerages US$9.2 million for late filings
Merrill Lynch, Wachovia temporarily suspended from registering new brokers
- By: James Langton
- November 30, 2004 November 30, 2004
- 14:10
AMF names committee members to oversee investor education fund
Committee to review applications for funding
- By: James Langton
- November 29, 2004 November 29, 2004
- 15:40
OSC appoints new members to advisory committee
Seven members joining in January
- By: James Langton
- November 26, 2004 November 26, 2004
- 13:20
Regulators propose changes to rule requiring certification of financial filings
Amendments would give firms more time
- By: James Langton
- November 26, 2004 November 26, 2004
- 11:40
Pension plans must act to ensure solvency, says OSFI head
Too many detailed rules can be counter productive, regulator says
- By: James Langton
- November 25, 2004 November 25, 2004
- 15:10
OSFI issues revised guideline on asset securitization
New guideline in effect for fiscal 2005
- By: James Langton
- November 23, 2004 November 23, 2004
- 17:20
U.K. regulator tells banks to treat customers fairly
FSA concerned about the treatment of consumers
- By: James Langton
- November 23, 2004 November 23, 2004
- 15:10
Dealers must review reps’ web sites for compliance, says MFDA
Regulator finds many deficiencies
- By: James Langton
- November 23, 2004 November 23, 2004
- 09:30
Ontario proposes eliminating capital tax
Budget measures bill introduced
- By: James Langton
- November 22, 2004 November 22, 2004
- 16:40
Ontario introduces legislation to implement secondary market disclosure
Goal is to improve investor protection
- By: James Langton
- November 22, 2004 November 22, 2004
- 16:10
NASD bars former investment banker for life
Quattrone is permanently banned from securities industry
- By: James Langton
- November 22, 2004 November 22, 2004
- 15:30
OSFI updates guidelines for identification of money laundering
Regulator warns firms to be wary of “introducers”
- By: James Langton
- November 22, 2004 November 22, 2004
- 13:50
B.C. delays introduction of new securities legislation, again
No target date set for proclamation
- By: James Langton
- November 22, 2004 November 22, 2004
- 10:15
MFDA issues enforcement activity update
239 cases opened during 2004
- By: James Langton
- November 22, 2004 November 22, 2004
- 08:30
SEC files charges against former eFunds COO
Canadian man consents to US$30,000 penalty
- By: James Langton
- November 19, 2004 November 19, 2004
- 16:10
OSC obtains interim order against von Anhalts
Lydia Mining shareholders meeting adjourned
- By: IE Staff
- November 19, 2004 November 19, 2004
- 15:10
CSA gives update on efforts to combat illegal insider trading
Regulator plans rule for handling of undisclosed material information
- By: James Langton
- November 19, 2004 November 19, 2004
- 14:35
OSC issues warning to fund dealers
Says omnibus account arrangements, joint service arrangements raise investor protection concerns
- By: James Langton
- November 19, 2004 November 19, 2004
- 14:10
OSC approves settlement with former Saxton vp
McGee receives 15-year cease trade order
- By: IE Staff
- November 19, 2004 November 19, 2004
- 11:50
SEC postpones acceleration of periodic report filing dates
Phase-in period delayed for one year
- By: James Langton
- November 18, 2004 November 18, 2004
- 11:30
OSC bans Pollitt president for 30 days for giving “heads up”
Pollitt & Co. agrees to pay $27,000
- By: IE Staff
- November 18, 2004 November 18, 2004
- 08:45
Manitoba order allowing fund dealers to trade deposit notes set to expire
No plans to extend order says MSC
- By: James Langton
- November 17, 2004 November 17, 2004
- 14:30
Pilgrim Baxter founders settle fund-trading charges
Executives ordered to pay US$160 million
- By: James Langton
- November 17, 2004 November 17, 2004
- 14:10
NASD submits recommendations on soft dollars to SEC
Task force calls for increased disclosure
- By: James Langton
- November 17, 2004 November 17, 2004
- 12:25