Quebec gives AMF tougher enforcement powers
Regulator to penalties for late filings of insider reports
- By: IE Staff
- December 21, 2004 December 21, 2004
- 17:20
Latest news in From the Regulators
CIBC World Markets fined $700,000
RS alleges dealer failed to detect manipulative trading
- By: IE Staff
- December 21, 2004 December 21, 2004
- 15:45
MFDA clarifies rules on outsourcing
Regulator must be able to obtain records from service providers
- By: James Langton
- December 21, 2004 December 21, 2004
- 11:30
Former Philip Service exec charged in $28 million fraud
Waxman facing 12 counts of fraud
- By: James Langton
- December 20, 2004 December 20, 2004
- 16:50
BCSC reprimands investment management firm
Jarislowsky, Fraser agrees to pay registration fees
- By: IE Staff
- December 20, 2004 December 20, 2004
- 10:40
BCSC launches new Web site
The British Columbia Securities Commission has redesigned its Web site to give investors and industry better access to information and securities regulatory services, including resources…
- By: IE Staff
- December 20, 2004 December 20, 2004
- 09:55
Spots open on OSC small business committee
Strong interest in securities regulatory policy a must
- By: IE Staff
- December 19, 2004 December 19, 2004
- 08:40
CSA seeks comment on registration exemptions
New national rule harmonizes prospectus and registration exemptions
- By: IE Staff
- December 17, 2004 December 17, 2004
- 16:51
CSA issues continuous disclosure alert
Public comments on new national rule being reviewed
- By: IE Staff
- December 17, 2004 December 17, 2004
- 15:43
SEC to examine impact of Sarbanes-Oxley Act
Advisory committee will look into regulatory treatment of smaller companies
- By: IE Staff
- December 17, 2004 December 17, 2004
- 14:37
Ontario transparency act passed
Aimed at ending fiscal surprises
- By: James Langton
- December 17, 2004 December 17, 2004
- 13:56
Ontario passes trust liabilities act
Legislation protects trust investors from liability
- By: IE Staff
- December 17, 2004 December 17, 2004
- 10:20
MFDA fines Investors Group $2.65 million for market timing
Fund delear agrees to compensate investors
- By: James Langton
- December 16, 2004 December 16, 2004
- 17:10
OSC approves fund market-timing settlements
$156.5 million set aside for investors
- By: IE Staff
- December 16, 2004 December 16, 2004
- 14:30
Quebec regulator to seek prison term for convicted company officer
Fine not sufficient, AMF says
- By: James Langton
- December 16, 2004 December 16, 2004
- 12:10
Cross-border debit card a success for TD Canada Trust
Volumes expected to increase significantly
- By: IE Staff
- December 16, 2004 December 16, 2004
- 10:20
OSC to settle with AIC over market timing activities
Hearing with four fund companies scheduled for Thursday
- By: IE Staff
- December 15, 2004 December 15, 2004
- 08:20
OSC approves settlement with former ATI counsel
Daub did not intentionally mislead OSC staff
- By: IE Staff
- December 14, 2004 December 14, 2004
- 15:40
OSFI issues guideline on “source of earnings” disclosure
SOE disclosure intended to supplement existing accounting rules
- By: James Langton
- December 14, 2004 December 14, 2004
- 11:50
OSC to consider market timing settlements
Hearing scheduled for Thursday
- By: IE Staff
- December 13, 2004 December 13, 2004
- 11:50
CSA issues first bi-annual report on enforcement activity
Record sends “strong message of deterrence” to investment community
- By: James Langton
- December 10, 2004 December 10, 2004
- 15:45
CIBC given relief in reorganization
CIBC Financial Planning subsidiary being wound up, moved into CIBC Investor Services
- By: IE Staff
- December 10, 2004 December 10, 2004
- 12:45
Canadian Securities Administrators publishes revised schedule
Reflects holiday closures across country
- By: IE Staff
- December 10, 2004 December 10, 2004
- 11:40
Canada needs uniform securities laws, says Dodge
Efficient financial system key to continuing prosperity
- By: James Langton
- December 9, 2004 December 9, 2004
- 16:10
FSCO restructures insurance divisions
Market conduct activities being consolidated
- By: IE Staff
- December 9, 2004 December 9, 2004
- 15:54