Court denies appeal in fund fraud
Hands down tougher sentence
- By: James Langton
- August 20, 2004 August 20, 2004
- 15:15
Latest news in From the Regulators
NASAA proposes expand model exemption for TSXV listings
Comment period open for 30 days
- By: IE Staff
- August 20, 2004 August 20, 2004
- 15:10
Former Banfield Capital broker facing $150,000 fine
OSC imposes five year
- By: IE Staff
- August 20, 2004 August 20, 2004
- 11:30
Sorbara cleared of conflict allegations
Ontario finance minister did nothing to influence OSC investigation of Royal Group Technologies, report concludes
- By: James Langton
- August 19, 2004 August 19, 2004
- 16:01
U.S. securities firm barred from opening fund accounts
For the first time, the NASD has suspended a firm from opening new mutual fund accounts.The NASD sid Thursday that National Securities Corp. may not…
- By: _ _
- August 19, 2004 August 19, 2004
- 12:54
FSCO announces overhaul
Regulator to focus on “market-conduct” regulation
- By: James Langton
- August 18, 2004 August 18, 2004
- 17:00
Osborne report says OSC should split off adjudicative function
Brown says without a better model, current structure should be left as is; Hockin backs report
- By: James Langton
- August 18, 2004 August 18, 2004
- 13:38
SEC votes to ban
“directed brokerage” by mutual funds
SIA says new rule will eliminate potential conflicts of interest
- By: James Langton
- August 18, 2004 August 18, 2004
- 13:20
Janus unit settles market-timing charges with SEC
Agrees to Pay $100 million in penalties and disgorgement
- By: James Langton
- August 18, 2004 August 18, 2004
- 13:10
OSC adjourns Discovery Biotech hearing
Hearing to resume September 20
- By: IE Staff
- August 18, 2004 August 18, 2004
- 10:20
Ontario pushes single regulator idea
Gerry Phillips, chairman of Ontario’s Management Board Secretariat, has repeated his call for the creation of a single securities regulator.In late June, Phillips, who is…
- By: James Langton
- August 18, 2004 August 18, 2004
- 09:46
Insurance sector dominates FSCO enforcement actions
42 investigations overall in first quarter 2004
- By: James Langton
- August 17, 2004 August 17, 2004
- 09:21
ASC income slips in first quarter
National registration system eats into revenues
- By: James Langton
- August 16, 2004 August 16, 2004
- 15:55
RS adds directors
Former OSC executive director Ermanno Pascutto one of three new independents
- By: IE Staff
- August 16, 2004 August 16, 2004
- 13:39
OSC invites comment on outsourcing of financial services
Input sought for final IOSCO report
- By: James Langton
- August 13, 2004 August 13, 2004
- 15:30
RS approves changes to market integrity rules
Proposed amendments would make it an offence to obstruct an investigation
- By: IE Staff
- August 13, 2004 August 13, 2004
- 15:20
New methodology for P&C capital requirements working well says OSFI
Regulator publishes paper on Basel II guidelines
- By: James Langton
- August 13, 2004 August 13, 2004
- 13:35
NSSC seeking suspension for two fund reps
Hearing scheduled for September
- By: James Langton
- August 13, 2004 August 13, 2004
- 09:55
RS expenses, revenues below budget in 2004
The cost of market regulation is heading lower, according to Market Regulation Services Inc.’s new annual report for the year ended Feb. 29, 2004.In the…
- By: James Langton
- August 10, 2004 August 10, 2004
- 15:30
Exempt financings doubled under new capital raising rules, says ASC
Exemptions credited for increasing opportunities for investors, companies
- By: IE Staff
- August 10, 2004 August 10, 2004
- 14:20
Insurers to pay US$20 million to settle SEC fund charges
Annuities sold to “professional market timing organizations”
- By: IE Staff
- August 9, 2004 August 9, 2004
- 13:40
SEC releases strategic plan for 2004-2009
Regulator committed to fulfill its investor protection mandate
- By: IE Staff
- August 5, 2004 August 5, 2004
- 16:55
OSC reduces costs in Friesner investigation
Says staff failed to provide sufficient detail
- By: IE Staff
- August 5, 2004 August 5, 2004
- 11:52
Closing bell: Markets mixed; blame oil prices, again
Oil prices were again the culprit on Wednesday, but this time it was because they fell. That triggered a brief buying spree on Wall Street,…
- By: IE Staff
- August 4, 2004 August 4, 2004
- 15:37
New Web site launched, OSC says
“More intuitive, easier to navigate”
- By: IE Staff
- August 4, 2004 August 4, 2004
- 14:38