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
Latest news in From the Regulators
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
ASC voices concern over proposed Fair Dealing Model
Industry players consulted by the Alberta Securities Commission believe the Fair Dealing Model (FDM) proposed by the Ontario Securities Commission is unworkable and unjustified.In a…
- By: James Langton
- September 27, 2004 September 27, 2004
- 15:40
Fitch, Moody’s opinions to be added to NASD rating content
Ratings to be incorporated into TRACE system
- By: IE Staff
- September 27, 2004 September 27, 2004
- 12:55
CSA releases comments received on USL Project
Bulk of comments express support
- By: James Langton
- September 24, 2004 September 24, 2004
- 11:55
Montreal broker fined for misappropriating client funds
Thomas J. Hunt also permanently prohibited from approval
- By: IE Staff
- September 24, 2004 September 24, 2004
- 09:34
ASC expands powers, duties of directors
New powers support continuous disclosure regime
- By: IE Staff
- September 23, 2004 September 23, 2004
- 15:25
SEC approves NASD compliance rule
U.S. securities firms must designate chief compliance officer
- By: IE Staff
- September 23, 2004 September 23, 2004
- 14:45
SEC outlines restitution plans for MFS penalties
Each fund to receive proportionate share of payments
- By: IE Staff
- September 23, 2004 September 23, 2004
- 08:10
AMF to join National Registration Database
Quebec enrolment deadline set for January 1
- By: IE Staff
- September 21, 2004 September 21, 2004
- 15:50
OSFI securities unit moves to Toronto
Transfer makes better use of unit’s expertise
- By: IE Staff
- September 21, 2004 September 21, 2004
- 13:30
SEC settles charges with TD Waterhouse
Brokerage to pay US$2 million for undisclosed cash payments to advisors; TD says it regrets its oversight
- By: IE Staff
- September 21, 2004 September 21, 2004
- 12:55
OSC FAQ explains risk assessment questionnaire
Survey will determine which managers to review
- By: IE Staff
- September 21, 2004 September 21, 2004
- 10:10
MFDA clarifies rules on referral arrangements
Firms must address potential conflicts of interest
- By: IE Staff
- September 21, 2004 September 21, 2004
- 10:10
OSC warns four fund managers of potential enforcement action
Regulator alleges market timing violations
- By: IE Staff
- September 21, 2004 September 21, 2004
- 07:50
ASC levies lifetime ban on mutual fund salesman
Showers deceived clients about account performance
- By: IE Staff
- September 17, 2004 September 17, 2004
- 13:10
Essential CRA services to continue during strike
The Canada Revenue Agency said today that it is committed too delivering essential services during a strike by 22,000 permanent and several thousand term employees…
- By: IE Staff
- September 16, 2004 September 16, 2004
- 16:15
ASC settles with mortgage firm officer
Firm sold mortgages as investments without registration
- By: IE Staff
- September 14, 2004 September 14, 2004
- 15:15
Schwab settles mutual fund probe
Firm allowed certain customers to purchase funds after market close
- By: IE Staff
- September 14, 2004 September 14, 2004
- 14:53
SEC adds fraud charges to complaint against Canadian man
Alleges duo operated investor Ponzi scheme
- By: James Langton
- September 13, 2004 September 13, 2004
- 07:50
Court decision on liability of regulatory bodies may have wider impact
May change sorts of cases that can succeed in other provinces
- By: IE Staff
- September 10, 2004 September 10, 2004
- 16:26