Directors called to help fight against illegal insider trading
Boards are responsible for oversight, says RS chief
- By: James Langton
- February 14, 2005 February 14, 2005
- 08:20
Latest news in From the Regulators
OSC adds terms to Portus temporary order
The Ontario Securities Commission on Friday issued a temporary order imposing further terms and conditions on the registration of Portus Alternative Asset Management Inc.The additional…
- By: IE Staff
- February 14, 2005 February 14, 2005
- 08:05
CSA mining committee seeks members
Applications due by March 1
- By: James Langton
- February 11, 2005 February 11, 2005
- 16:20
Ontario court affirms OSC’s jurisdiction over filing requirements
Authority to grant exemptions lies with securities commissions, not courts
- By: IE Staff
- February 11, 2005 February 11, 2005
- 11:45
CSA responds to comments on STP discussion paper
Regulators plan to have institutional trade-matching rule in force by start of 2006
- By: IE Staff
- February 11, 2005 February 11, 2005
- 11:10
BCSC ends action against Nova Scotia couple
Pair convicted of unregistered trading in securities
- By: IE Staff
- February 11, 2005 February 11, 2005
- 09:50
ASC finds former Wolverton broker engaged in prohibited discretionary trading
Panel considering sanctions
- By: IE Staff
- February 10, 2005 February 10, 2005
- 13:50
SEC settles two more charges of market timing
Bank of American to pay US$375 million; Columbia to pay US$140 million
- By: James Langton
- February 9, 2005 February 9, 2005
- 16:30
Nasdaq employees didn’t report
suspicious trades, SEC says
Exchange, NASD agree to boost oversight
- By: James Langton
- February 9, 2005 February 9, 2005
- 16:15
Regulators consider expanding Portus suspension
Hearing scheduled for February 17
- By: James Langton
- February 9, 2005 February 9, 2005
- 11:45
Quebec court upholds AMF decision against RBC Life
Insurer liable for fraud committed by rep
- By: James Langton
- February 9, 2005 February 9, 2005
- 10:20
Regulation FD has unintended consequences: report
Selective disclosure rule raises cost of capital for small firms
- By: James Langton
- February 8, 2005 February 8, 2005
- 15:35
Electronic filing of monthly financial information now mandatory, MFDA says
Regulator no longer accepting paper monthly filings
- By: James Langton
- February 7, 2005 February 7, 2005
- 15:45
TD Waterhouse lawsuit to proceed to trial
Firm suing former broker and client
- By: James Langton
- February 7, 2005 February 7, 2005
- 08:20
IDA permanently bans Vancouver broker
Former Canaccord rep fined $80,000
- By: IE Staff
- February 7, 2005 February 7, 2005
- 08:10
CSA seeks input on “best execution” and “soft-dollar arrangement”
Consulation to determine whether any action is required
- By: James Langton
- February 4, 2005 February 4, 2005
- 15:40
CSA simplifies process for ceasing to be a reporting issuer
Applicants may qualify for exemptive relief
- By: IE Staff
- February 4, 2005 February 4, 2005
- 10:50
CSA seeks comment on internal control and certification rules
Measure aims to improve quality of financial statements
- By: James Langton
- February 4, 2005 February 4, 2005
- 10:20
Securities regulators working to improve cross-border co-operation
Efforts underway to identify higher risk jurisdictions
- By: James Langton
- February 3, 2005 February 3, 2005
- 15:50
Provinces bar Portus from accepting new money
OSC hearing scheduled for February 17
- By: IE Staff
- February 2, 2005 February 2, 2005
- 17:10
Look before leap into RRSPs, Quebec regulator says
Read the fine print first
- By: IE Staff
- February 2, 2005 February 2, 2005
- 15:10
MFDA sets disciplinary hearing for B.C. salesperson
Alleges former Partners in Planning rep misappropriated client funds
- By: James Langton
- February 2, 2005 February 2, 2005
- 12:30
RCMP executes search warrant at Scotiabank headquarters
Market squad investigating Royal Group
- By: IE Staff
- February 1, 2005 February 1, 2005
- 16:20
Court upholds 15-year trading ban
OSC must reconsider costs charged to former Yorkton broker
- By: IE Staff
- January 31, 2005 January 31, 2005
- 08:30
Joint Forum releases sales practice standards
Consumers to benefit from uniform protection
- By: James Langton
- January 31, 2005 January 31, 2005
- 08:20