Audits reveal SRO concerns
ASC says some improvements needed at IDA, MFDA
- By: IE Staff
- September 10, 2004 September 10, 2004
- 16:18
Latest news in From the Regulators
Rule changes proposed for trading during distributions, takeovers
The Ontario Securities Commission is proposing changes to the rules dealing with trading during distributions, takeovers, and other major transactions.A year ago, the OSC published…
- By: IE Staff
- September 10, 2004 September 10, 2004
- 16:10
Most Quebec issuers in compliance: report
Continuous disclosure review shows quality of financial information circulated in market is good
- By: IE Staff
- September 9, 2004 September 9, 2004
- 14:06
Saskatchewan updates rule regarding GIC traders
Seeking comment on new proposal until Nov. 15
- By: IE Staff
- September 8, 2004 September 8, 2004
- 16:14
New rule sets mining disclosure standards
CSA says amendment out for comment until Dec. 10
- By: IE Staff
- September 8, 2004 September 8, 2004
- 11:54
Partial victory for Research Capital in Palumbo dismissal suit
Ontario appeal court reverses decision on compensation
- By: James Langton
- September 7, 2004 September 7, 2004
- 12:59
FSA trimming investigation times
Average time now about 11 months, down from 16 months
- By: James Langton
- September 7, 2004 September 7, 2004
- 10:50
Two Vancouver residents hit with injunctions
SEC alleges Canadians issued false, misleading press releases about their company
- By: IE Staff
- September 3, 2004 September 3, 2004
- 15:47
IDA consolidates hearing process
The Investment Dealers Association has approved amendments to its by-laws concerning disciplinary hearings and it has published its rules of practice and procedure for hearings.The…
- By: IE Staff
- September 3, 2004 September 3, 2004
- 13:05
IDA by-law mandates participation in NRD
By-law 40 allows exceptions for Quebec re national registration database
- By: James Langton
- September 3, 2004 September 3, 2004
- 10:28
BCSC to probe Union Securities
Alleges U.S. promoter used firm to manipulate OTC shares
- By: IE Staff
- September 2, 2004 September 2, 2004
- 07:45
Former Invesco execs settle market-timing charges
Trio agrees to pay US$340,000
- By: IE Staff
- August 31, 2004 August 31, 2004
- 14:05
Court rules portfolio manager held too much cash
Jones Heward found negligent in managing account
- By: James Langton
- August 31, 2004 August 31, 2004
- 09:55
OSC alleges dealer leaked word of Agricore “bought deal”
Pollitt & Co., Pollitt and Cassels called to hearing
- By: James Langton
- August 30, 2004 August 30, 2004
- 15:40
FSCO publishes Monsanto case guidelines
The Financial Services Commission of Ontario has issued guidelines to the pension industry on the implications of the Supreme Court of Canada decision in the…
- By: IE Staff
- August 30, 2004 August 30, 2004
- 14:56
BCSC drops proposed registration rule
Says firm-only registration would complicate national system
- By: James Langton
- August 30, 2004 August 30, 2004
- 07:55
OSC aiming to fill vacancies on advisor committee
Applications due October 15
- By: James Langton
- August 27, 2004 August 27, 2004
- 14:30
RS rule changes affect short sales, regulatory halts
ETFs granted exemption from pricing restrictions
- By: James Langton
- August 27, 2004 August 27, 2004
- 10:40
Clearly Canadian president fined by BCSC
Mason given one-year trading ban for failing to file insider-trading reports
- By: IE Staff
- August 27, 2004 August 27, 2004
- 07:40
Deutsche Bank Securities to pay
US$87.5 million to settle SEC probe
Two more brokerage firms have agreed to settlements with a slew of U.S. regulators concerning conflicts of interest in equity research. Deutsche Bank Securities Inc.…
- By: James Langton
- August 26, 2004 August 26, 2004
- 10:40
California brokerage charged with facilitating market timing
The Securities and Exchange Commission filed civil fraud charges Wednesday against a California-based broker-dealer firm for facilitating market timing.The SEC charged broker-dealer National Clearing Corp.,…
- By: IE Staff
- August 25, 2004 August 25, 2004
- 14:21
Royal Dutch Shell sanctioned for reserves overstatement
U.S. and British securities regulators are teaming up to sanction Royal Dutch Shell for massively overstating its proven reserves.The U.S. Securities and Exchange Commission and…
- By: IE Staff
- August 24, 2004 August 24, 2004
- 13:31
HSBC Securities (Canada) fined $625,000 for compliance violations
First settlement under RS trading supervision rule
- By: James Langton
- August 23, 2004 August 23, 2004
- 16:20
MFDA amends early-warning review process
Changes give greater flexibility to regulator
- By: James Langton
- August 23, 2004 August 23, 2004
- 10:20
RS approves changes to rules governing “off-marketplace” trades
OSC seeking comments on RS proposals
- By: IE Staff
- August 20, 2004 August 20, 2004
- 15:40