SEC to examine impact of Sarbanes-Oxley Act
Advisory committee will look into regulatory treatment of smaller companies
- By: IE Staff
- December 17, 2004 December 17, 2004
- 14:37
Latest news in From the Regulators
SEC to examine impact of Sarbanes-Oxley Act
Ontario transparency act passed
Aimed at ending fiscal surprises
- By: James Langton
- December 17, 2004 December 17, 2004
- 13:56
Ontario passes trust liabilities act
Legislation protects trust investors from liability
- By: IE Staff
- December 17, 2004 December 17, 2004
- 10:20
MFDA fines Investors Group $2.65 million for market timing
Fund delear agrees to compensate investors
- By: James Langton
- December 16, 2004 December 16, 2004
- 17:10
OSC approves fund market-timing settlements
$156.5 million set aside for investors
- By: IE Staff
- December 16, 2004 December 16, 2004
- 14:30
Quebec regulator to seek prison term for convicted company officer
Fine not sufficient, AMF says
- By: James Langton
- December 16, 2004 December 16, 2004
- 12:10
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
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