Latest news in From the Regulators

IDA issues reminder on new SEC short-selling rules

Regulation SHO now in effect

By: James Langton
December 2, 2004 December 2, 2004
16:30

MFDA outlines procedures for disciplinary hearings

Respondents entitled to representation by counsel

By: James Langton
December 2, 2004 December 2, 2004
16:15

IDA fines Vancouver broker $5,000

Gee admits to forging client's signature

By: IE Staff
December 2, 2004 December 2, 2004
14:20

BCSC reports complaints about tax letters

Lottery scam using Vancouver address

By: IE Staff
December 2, 2004 December 2, 2004
11:10

B.C. court dismisses reverse mortgage suit

Court can't protect couple from “act of folly”

By: James Langton
December 2, 2004 December 2, 2004
10:10

Fund, investment dealers ordered to submit plans for unwinding joint service agreements

Plans must be filed by January 31

By: James Langton
November 30, 2004 November 30, 2004
16:55

AIG settles fraud charges for US$126 million

Insurance firm appoints independent monitor

By: James Langton
November 30, 2004 November 30, 2004
16:30

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