Latest news in From the Regulators

Sibold to leave ASC in spring

Five-year term began in May 2000

By: IE Staff
October 15, 2004 October 15, 2004
08:28

OSFI sets out priorities, challenges

A number of “problem” financial institutions remain on OSFI watch list

By: IE Staff
October 14, 2004 October 14, 2004
15:50

Administrator to oversee funds from SEC trading violations

Money will eventually go back to injured customers

By: IE Staff
October 14, 2004 October 14, 2004
14:40

Spitzer targets insurance sector

New York Attorney General Eliot Spitzer Thursday unveiled a suit against insurance brokerage giant Marsh & McLennan Cos., and two insurance company executives, alleging fraud…

By: IE Staff
October 14, 2004 October 14, 2004
14:16

CRA reaches tentative accord with striking workers

PSAC to vote on proposed four-year agreement

By: James Langton
October 14, 2004 October 14, 2004
09:10

AMF files illegal insider trading charges against former Jitec CEO

Laliberté facing 48 counts

By: James Langton
October 12, 2004 October 12, 2004
09:10

Former Invesco CEO fined US$500,000

Invesco, AIM Investments formalize US$375 million deal to settle SEC charges

By: IE Staff
October 8, 2004 October 8, 2004
14:10

UBS Securities Canada fined $2 million for “double printing”

RS panel approves settlement

By: James Langton
October 8, 2004 October 8, 2004
11:10

Improve efficiency of capital markets, Dodge says

Global consolidation of financial services presents an on going challenge

By: James Langton
October 8, 2004 October 8, 2004
07:55

OSFI touts role in contributing to public confidence

Regulator releases annual report

By: IE Staff
October 7, 2004 October 7, 2004
13:10

Regulators trim fee relief to market makers

Exemptions limited to 70% reduction

By: IE Staff
October 7, 2004 October 7, 2004
12:40

Corporate governance improving: survey

Executive compensation remains an area of concern

By: James Langton
October 6, 2004 October 6, 2004
16:10

ASC charges man with breaching cease-trade orders

Alleges Seto traded in securities of Genoray

By: IE Staff
October 6, 2004 October 6, 2004
14:50

Universal Market Integrity Rules under review

RS seeking public comment

By: IE Staff
October 4, 2004 October 4, 2004
15:35

NASD sanctions 18 firms for OATS violations

SG Cowen fined US$800,000 for failing to report millions of orders

By: James Langton
October 4, 2004 October 4, 2004
15:10

NASAA installs new president, board of directors

Widmann urges industry, regulators to focus priorities to help investors regain confidence

By: James Langton
October 4, 2004 October 4, 2004
14:40

NASAA sweep identifies most common advisor problems

Regulators propose best practices to help advisors develop compliance practices and procedures

By: James Langton
October 4, 2004 October 4, 2004
13:10

MFDA proposes changes to enforcement process

Regulator seeks to make hearings more cost-effective

By: James Langton
October 1, 2004 October 1, 2004
15:30

Financial markets need to be made more transparent

Huge task ahead to educate investors says FSA chairman

By: James Langton
October 1, 2004 October 1, 2004
13:55

OSC staff in discussions with four fund managers

No evidence found of market timing by insiders

By: IE Staff
October 1, 2004 October 1, 2004
11:20

Provinces pledge to adopt passport model

Ontario declines to sign memorandum

By: James Langton
September 30, 2004 September 30, 2004
15:30

SEC files fraud charges against Raymond James

Alleges firm failed to supervise broker

By: IE Staff
September 30, 2004 September 30, 2004
14:30

MFDA announces members of policy committee

Lake to chair PAC

By: James Langton
September 30, 2004 September 30, 2004
10:30

FSCO policy sets out procedures for distributing pension surpluses

Policy outlines transfer of surplus to employers on full plan wind up

By: James Langton
September 29, 2004 September 29, 2004
07:45

“Passport” deal to be signed

Ministers meeting Thursday in Calgary

By: James Langton
September 28, 2004 September 28, 2004
14:32