OSFI securities unit moves to Toronto
Transfer makes better use of unit’s expertise
- By: IE Staff
- September 21, 2004 September 21, 2004
- 13:30
Latest news in From the Regulators
SEC settles charges with TD Waterhouse
Brokerage to pay US$2 million for undisclosed cash payments to advisors; TD says it regrets its oversight
- By: IE Staff
- September 21, 2004 September 21, 2004
- 12:55
OSC FAQ explains risk assessment questionnaire
Survey will determine which managers to review
- By: IE Staff
- September 21, 2004 September 21, 2004
- 10:10
MFDA clarifies rules on referral arrangements
Firms must address potential conflicts of interest
- By: IE Staff
- September 21, 2004 September 21, 2004
- 10:10
OSC warns four fund managers of potential enforcement action
Regulator alleges market timing violations
- By: IE Staff
- September 21, 2004 September 21, 2004
- 07:50
ASC levies lifetime ban on mutual fund salesman
Showers deceived clients about account performance
- By: IE Staff
- September 17, 2004 September 17, 2004
- 13:10
Essential CRA services to continue during strike
The Canada Revenue Agency said today that it is committed too delivering essential services during a strike by 22,000 permanent and several thousand term employees…
- By: IE Staff
- September 16, 2004 September 16, 2004
- 16:15
ASC settles with mortgage firm officer
Firm sold mortgages as investments without registration
- By: IE Staff
- September 14, 2004 September 14, 2004
- 15:15
Schwab settles mutual fund probe
Firm allowed certain customers to purchase funds after market close
- By: IE Staff
- September 14, 2004 September 14, 2004
- 14:53
SEC adds fraud charges to complaint against Canadian man
Alleges duo operated investor Ponzi scheme
- By: James Langton
- September 13, 2004 September 13, 2004
- 07:50
Court decision on liability of regulatory bodies may have wider impact
May change sorts of cases that can succeed in other provinces
- By: IE Staff
- September 10, 2004 September 10, 2004
- 16:26
Audits reveal SRO concerns
ASC says some improvements needed at IDA, MFDA
- By: IE Staff
- September 10, 2004 September 10, 2004
- 16:18
Rule changes proposed for trading during distributions, takeovers
The Ontario Securities Commission is proposing changes to the rules dealing with trading during distributions, takeovers, and other major transactions.A year ago, the OSC published…
- By: IE Staff
- September 10, 2004 September 10, 2004
- 16:10
Most Quebec issuers in compliance: report
Continuous disclosure review shows quality of financial information circulated in market is good
- By: IE Staff
- September 9, 2004 September 9, 2004
- 14:06
Saskatchewan updates rule regarding GIC traders
Seeking comment on new proposal until Nov. 15
- By: IE Staff
- September 8, 2004 September 8, 2004
- 16:14
New rule sets mining disclosure standards
CSA says amendment out for comment until Dec. 10
- By: IE Staff
- September 8, 2004 September 8, 2004
- 11:54
Partial victory for Research Capital in Palumbo dismissal suit
Ontario appeal court reverses decision on compensation
- By: James Langton
- September 7, 2004 September 7, 2004
- 12:59
FSA trimming investigation times
Average time now about 11 months, down from 16 months
- By: James Langton
- September 7, 2004 September 7, 2004
- 10:50
Two Vancouver residents hit with injunctions
SEC alleges Canadians issued false, misleading press releases about their company
- By: IE Staff
- September 3, 2004 September 3, 2004
- 15:47
IDA consolidates hearing process
The Investment Dealers Association has approved amendments to its by-laws concerning disciplinary hearings and it has published its rules of practice and procedure for hearings.The…
- By: IE Staff
- September 3, 2004 September 3, 2004
- 13:05
IDA by-law mandates participation in NRD
By-law 40 allows exceptions for Quebec re national registration database
- By: James Langton
- September 3, 2004 September 3, 2004
- 10:28
BCSC to probe Union Securities
Alleges U.S. promoter used firm to manipulate OTC shares
- By: IE Staff
- September 2, 2004 September 2, 2004
- 07:45
Former Invesco execs settle market-timing charges
Trio agrees to pay US$340,000
- By: IE Staff
- August 31, 2004 August 31, 2004
- 14:05
Court rules portfolio manager held too much cash
Jones Heward found negligent in managing account
- By: James Langton
- August 31, 2004 August 31, 2004
- 09:55
OSC alleges dealer leaked word of Agricore “bought deal”
Pollitt & Co., Pollitt and Cassels called to hearing
- By: James Langton
- August 30, 2004 August 30, 2004
- 15:40