New research suggests that the Securities and Exchange Commission’s efforts to end selective disclosure has had unintended consequences for the market, hurting small firms most.The…

By: James Langton
June 23, 2004 June 23, 2004
15:28

NSSC investigates broker

Helped group of corporate insiders prop up their firm's stock, commission says

By: IE Staff
June 23, 2004 June 23, 2004
15:03

OSC’s private placement investigation continues

Another settlement reached with a fund manager

By: James Langton
June 23, 2004 June 23, 2004
13:58

Ratings of Caisse and CDP Financial confirmed at AAA

DBRS cites improved performance, stronger markets

By: IE Staff
June 23, 2004 June 23, 2004
13:09

Fangeat settlement approved

Veteran insurance agent, fund salesman banned for 20 years

By: IE Staff
June 22, 2004 June 22, 2004
15:22

BCSC publishes rules for new securities act

The B.C. Securities Commission on Tuesday published for comment rules that would implement many of the provisions of its new regulatory model.In May, the province…

By: IE Staff
June 22, 2004 June 22, 2004
13:35

Pilgrim Baxter settles market timing fraud charges with SEC

Firm agrees to pay US$90 million

By: IE Staff
June 21, 2004 June 21, 2004
14:30

CSA updates continuous disclosure FAQ

List aims to answer common questions

By: IE Staff
June 18, 2004 June 18, 2004
12:20

ASC sanctions former Golden Rule CEO

Harper prohibited from acting as director, officer

By: IE Staff
June 18, 2004 June 18, 2004
11:15

Focus on straight-through-processing, U.S. securities group says

Forget plan to shorten settlement cycle

By: IE Staff
June 17, 2004 June 17, 2004
15:19

U.S. capital markets plan needed to deal with EU

Securities Industry Association head stresses importance of transatlantic market

By: IE Staff
June 17, 2004 June 17, 2004
14:25

Quebec tables financial services report

Trust, savings companies profits down, insurers post gains

By: IE Staff
June 16, 2004 June 16, 2004
16:10

Fund rep denied registration

OSC says Sahil Celly violated insurance regulations

By: IE Staff
June 14, 2004 June 14, 2004
13:50

OSC denies registration of veteran rep

Lacks competence, solvency and integrity, OSC says

By: James Langton
June 11, 2004 June 11, 2004
15:51

OSC weighs in on joint-service arrangements, omnibus accounts

Commission asks: have fund dealers outlived their usefulness?

By: James Langton
June 11, 2004 June 11, 2004
15:40

OSC invites improper traders to turn themselves in

The Ontario Securities Commission is inviting market players who may have been involved in dodgy trading around pending private placements to turn themselves in —…

By: James Langton
June 11, 2004 June 11, 2004
13:58