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
Latest news in From the Regulators
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
B.C. husband and wife banned for illegal distribution of securities
The British Columbia Securities Commission has banned a husband and wife from the securities market after they admitted to illegally distributing securities.Johnathan Lam Wai Tsang…
- By: IE Staff
- November 17, 2004 November 17, 2004
- 09:40
OSC approves settlement regarding Buckingham Securities
Former officer permanently barred from registration
- By: IE Staff
- November 16, 2004 November 16, 2004
- 15:50
OSC seeks to prevent von Anhalts from electing Lydia directors
Shareholders meeting scheduled for November 24
- By: IE Staff
- November 16, 2004 November 16, 2004
- 15:30
SEC files fraud charges against Conrad Black
The Securities and Exchange Commission announced today that it has filed an enforcement action against Conrad Black, foomer chairman and CEO of Hollinger, accusing him…
- By: James Langton
- November 15, 2004 November 15, 2004
- 15:50
CSA releases proposed Uniform Securities Transfer Act approved by USTA task force
Task force finds strong support from securities industry
- By: James Langton
- November 12, 2004 November 12, 2004
- 13:35
ASC proposes interim rule ahead of NI 81-106
Continuous disclosure and proxy solicitation requirements for investment funds to remain unchanged
- By: James Langton
- November 11, 2004 November 11, 2004
- 17:25
ASC reports net loss in fiscal 2005 second quarter
Revenues cut by deferred fee increase
- By: James Langton
- November 11, 2004 November 11, 2004
- 16:40
FSA calls for improved information security in fight against fraud
Says small and medium-sized firms are less well prepared
- By: James Langton
- November 11, 2004 November 11, 2004
- 16:40
NASD seeks comment on proposed fairness opinion rule
Detailed disclosure of conflicts of interest, tightening of procedures at issue
- By: James Langton
- November 11, 2004 November 11, 2004
- 16:30
Securities group likes SEC’s SRO governance plan
Current system of duplicative regulatory schemes means higher costs to investors, SIA says
- By: IE Staff
- November 10, 2004 November 10, 2004
- 13:05
U.K. regulator announces “soft dollar” policy update
FSA outlines which services may not be paid for from commissions
- By: IE Staff
- November 10, 2004 November 10, 2004
- 10:40
AMF loses bid to compel testimony
Quebec court upholds Girard defence
- By: James Langton
- November 10, 2004 November 10, 2004
- 09:20
NYSE clarifies plan to expand automatic order-execution service
Amendment filed with SEC
- By: IE Staff
- November 9, 2004 November 9, 2004
- 17:11
Brokerages required to file reports on CNQ short positions
RS sets deadline of December 1
- By: James Langton
- November 9, 2004 November 9, 2004
- 12:10
Quebec court orders man to co-operate with AMF investigation
Nadeau threatened with contempt of court charge
- By: James Langton
- November 8, 2004 November 8, 2004
- 11:10
OSC surplus jumps in fiscal 2004
Revenues $11.6 million higher than forecast
- By: James Langton
- November 8, 2004 November 8, 2004
- 08:40
MFDA maps out steps for exemptive relief applications
Regulatory Issues Committee responsible for ruling on applications
- By: James Langton
- November 5, 2004 November 5, 2004
- 16:20
OSC staff urge better disclosure of fees by LSIFs
Recommend continuing relief from sales practice rule
- By: James Langton
- November 5, 2004 November 5, 2004
- 15:40
SEDAR filing fees to change
Lower filing charges for mutual fund issuers effective January 1
- By: James Langton
- November 5, 2004 November 5, 2004
- 15:05