Securities industry must “rethink traditional practices”, says SEC chairman
Industry and regulators must work together, Donaldson says
- By: James Langton
- November 5, 2004 November 5, 2004
- 13:20
Latest news in From the Regulators
OSC approves settlement in sale of F.E.D.I. “desks”
Anderson receives reprimand
- By: IE Staff
- November 5, 2004 November 5, 2004
- 12:15
FCAC fines two financial institutions for violating consumer protection laws
FirstLine Mortgages; Laurentian Bank
- By: IE Staff
- November 5, 2004 November 5, 2004
- 11:45
U.K. regulator signs off on “basic advice” regime
New rules effective April 2005
- By: James Langton
- November 5, 2004 November 5, 2004
- 11:40
Wachovia agrees to US$37-million penalty
Payment to SEC relates to charges of proxy disclosure violations
- By: IE Staff
- November 4, 2004 November 4, 2004
- 15:08
FINTRAC steps up detection of money laundering, terrorist financing
Annual report tabled in Parliament
- By: IE Staff
- November 4, 2004 November 4, 2004
- 11:35
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
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