New UN Iraq regulations in place, says OSFI
Financial institutions still required to freeze Saddam Hussein assets
- By: James Langton
- November 3, 2004 November 3, 2004
- 16:40
Latest news in From the Regulators
AMF launches investor education fund
Quebec fund to support investor protection
- By: James Langton
- November 3, 2004 November 3, 2004
- 16:30
BCSC allows appeal of former ScotiaMcLeod broker
Carolann Steinhoff cleared of the IDA findings
- By: IE Staff
- November 2, 2004 November 2, 2004
- 17:16
Target date for new B.C. securities legislation pushed back
Effective date shifted to November 29
- By: James Langton
- November 2, 2004 November 2, 2004
- 15:40
MDFA clarifies power of attorney exemptions
Regulator to refuse paper filings of financial statements
- By: James Langton
- October 29, 2004 October 29, 2004
- 16:10
OSC seeking comment on revised governance rules
Regulator issues revised governance guidelines
- By: James Langton
- October 29, 2004 October 29, 2004
- 14:10
BCSC dismisses IDA application for penalty review
Says power to intervene “should be used sparingly”
- By: IE Staff
- October 29, 2004 October 29, 2004
- 09:30
TD Securities agrees to settlement with BCSC
Pays $50,000 “for acting contrary to the public interest”
- By: IE Staff
- October 28, 2004 October 28, 2004
- 09:47
SEC votes to oversee hedge-fund advisors
Seeks comment on IPO reforms
- By: James Langton
- October 26, 2004 October 26, 2004
- 15:50
NASD fines Citigroup unit US$250,000
Hedge fund sales materials included unsubstantiated claims, inadequate risk disclosure
- By: James Langton
- October 25, 2004 October 25, 2004
- 15:30
Regulators release guidelines for pension plan governance
Follows three years of consultation with stakeholders
- By: IE Staff
- October 25, 2004 October 25, 2004
- 12:50
OSC report finds poor disclosure of executive compensation
Regulator plans to issue further guidance
- By: James Langton
- October 22, 2004 October 22, 2004
- 13:10
Securities group calls for code of conduct for credit rating agencies
Would be designed to offer specific and detailed guidance
- By: James Langton
- October 22, 2004 October 22, 2004
- 12:40
CSA amendments to short-form prospectus rule finalized
Implementation date set for January
- By: James Langton
- October 22, 2004 October 22, 2004
- 07:30
OSC publishes guidelines for disclosure of investigations
Regulator outlines circumstances when investigations ought to be disclosed
- By: IE Staff
- October 21, 2004 October 21, 2004
- 10:15
BCSC bans trio in fallout from Tri-West prime bank fraud
New evidence establishes identities of fraud perpetrators
- By: IE Staff
- October 20, 2004 October 20, 2004
- 13:40
OSC adjourns ATI hearing
Insider trading inquiry to resume in March
- By: IE Staff
- October 20, 2004 October 20, 2004
- 09:10
Quebec firms can join NRD as of end of month
Autorité des marchés financiers sets out schedule about joining National Registration Database
- By: IE Staff
- October 19, 2004 October 19, 2004
- 09:56
OSC chairman welcomes Ontario SCFEA report
Says recommendations will improve investor confidence
- By: IE Staff
- October 19, 2004 October 19, 2004
- 07:35
Ontario government to review SCFEA report
Phillips non-committal on splitting off OSC adjudicative function
- By: James Langton
- October 19, 2004 October 19, 2004
- 07:25
Ottawa seeks comment on debt strategy
Consultation document outlines domestic debt programs
- By: James Langton
- October 18, 2004 October 18, 2004
- 16:15
CIBC World Markets wins exemption on proficiency requirements
Applies to previously registered reps, subject to conditions
- By: IE Staff
- October 15, 2004 October 15, 2004
- 13:51
Rule on internal control over financial reporting may be ready for comment by yearend
Would not take effect before June 30, 2006, CSA says
- By: IE Staff
- October 15, 2004 October 15, 2004
- 13:46
OSC issues disclosure policy for ongoing investigations
The Ontario Securities Commission has issued guidelines its staff should follow in disclosing the existence of ongoing investigations.Typically, the OSC does not publicly disclose the…
- By: James Langton
- October 15, 2004 October 15, 2004
- 12:00
Committee to recommend splitting out OSC’s adjudicative function: report
Ontario committee report on securities regulation due out Monday
- By: IE Staff
- October 15, 2004 October 15, 2004
- 09:41