OSC invites comment on outsourcing of financial services
Input sought for final IOSCO report
- By: James Langton
- August 13, 2004 August 13, 2004
- 15:30
Latest news in From the Regulators
RS approves changes to market integrity rules
Proposed amendments would make it an offence to obstruct an investigation
- By: IE Staff
- August 13, 2004 August 13, 2004
- 15:20
New methodology for P&C capital requirements working well says OSFI
Regulator publishes paper on Basel II guidelines
- By: James Langton
- August 13, 2004 August 13, 2004
- 13:35
NSSC seeking suspension for two fund reps
Hearing scheduled for September
- By: James Langton
- August 13, 2004 August 13, 2004
- 09:55
RS expenses, revenues below budget in 2004
The cost of market regulation is heading lower, according to Market Regulation Services Inc.’s new annual report for the year ended Feb. 29, 2004.In the…
- By: James Langton
- August 10, 2004 August 10, 2004
- 15:30
Exempt financings doubled under new capital raising rules, says ASC
Exemptions credited for increasing opportunities for investors, companies
- By: IE Staff
- August 10, 2004 August 10, 2004
- 14:20
Insurers to pay US$20 million to settle SEC fund charges
Annuities sold to “professional market timing organizations”
- By: IE Staff
- August 9, 2004 August 9, 2004
- 13:40
SEC releases strategic plan for 2004-2009
Regulator committed to fulfill its investor protection mandate
- By: IE Staff
- August 5, 2004 August 5, 2004
- 16:55
OSC reduces costs in Friesner investigation
Says staff failed to provide sufficient detail
- By: IE Staff
- August 5, 2004 August 5, 2004
- 11:52
Closing bell: Markets mixed; blame oil prices, again
Oil prices were again the culprit on Wednesday, but this time it was because they fell. That triggered a brief buying spree on Wall Street,…
- By: IE Staff
- August 4, 2004 August 4, 2004
- 15:37
New Web site launched, OSC says
“More intuitive, easier to navigate”
- By: IE Staff
- August 4, 2004 August 4, 2004
- 14:38
NYSE expanding electronic trading platform
Securities Industry Association calls plan a “good step forward”
- By: IE Staff
- August 3, 2004 August 3, 2004
- 16:11
Fidelity settles with SEC over record-keeping violations
Firm to pay total US$2 million in fines and will be censured by NYSE
- By: IE Staff
- August 3, 2004 August 3, 2004
- 15:09
OSC upholds decision against Donald Greco
An Ontario Securities Commission panel has upheld Market Regulation Services Inc.’s decision that trader Donald Greco engaged in front-running.Greco sought a review of RS’s decision…
- By: _ _
- August 3, 2004 August 3, 2004
- 13:27
SEC reaches market-timing settlement with firm
Franklin Advisers to pay US$50 million
- By: IE Staff
- August 3, 2004 August 3, 2004
- 07:55
IFIC takes issue with joint-service arrangements
Tells OSC it needed more time to ponder implications
- By: James Langton
- July 30, 2004 July 30, 2004
- 15:53
Toronto man convicted of investment, mail fraud
SEC to consider sanctions
- By: James Langton
- July 30, 2004 July 30, 2004
- 07:50
Panel dismisses charges against traders
Says Market Regulation Services exceeded jurisdiction
- By: IE Staff
- July 29, 2004 July 29, 2004
- 15:53
B.C. court backs pension regulator
Dismisses review sought by Butler Brothers Supplies
- By: James Langton
- July 29, 2004 July 29, 2004
- 15:48
Late filings land Morgan Stanley US$2.2 million fine, censure
The NASD said Thursday it has censured and fined Morgan Stanley DW Inc. US$2.2 million and blocked it from registering new brokers for a week…
- By: IE Staff
- July 29, 2004 July 29, 2004
- 14:11
Supreme Court backs Ontario in Monsanto pension case
Surplus pension assets must distributed to terminated workers in partial wind-up of pension plan
- By: James Langton
- July 29, 2004 July 29, 2004
- 10:14
Stakeholders lower OSC satisfaction grade
The Ontario Securities Commission has received good, but slightly lower grades, according to a report Thursday on stakeholder satisfaction.Stakeholders also strongly support the idea of…
- By: IE Staff
- July 29, 2004 July 29, 2004
- 09:43
Fraudster banned in Ontario, now also banned in B.C.
Cheated 45 investors in Ontario and B.C. out of more than $2.4 million
- By: IE Staff
- July 29, 2004 July 29, 2004
- 09:00
RS rolls back CoolBrands trades
Company failed to alert regulator of news release
- By: IE Staff
- July 29, 2004 July 29, 2004
- 07:55
Broker who churned account fined, suspended
A Toronto broker who churned a client’s account has been fined $45,000 and suspended from the industry for 10 years.The Investment Dealers Association of Canada…
- By: IE Staff
- July 28, 2004 July 28, 2004
- 13:45