MFDA sets deadlines for dealing with out of province registrations
Firms must apply for registration or transfer client accounts
- By: IE Staff
- May 25, 2004 May 25, 2004
- 07:35
Latest news in From the Regulators
Alberta fund salesman fined for recommending unsuitable investments
ASC hands Wallace 15 year ban
- By: IE Staff
- May 21, 2004 May 21, 2004
- 12:10
CSA awards Test Your Financial I.Q. grand prize to young Quebecer
Essay wins $2,500 prize
- By: IE Staff
- May 21, 2004 May 21, 2004
- 09:45
Strong Capital settles fraud charges with SEC
Firm and founder agree to pay US$140 million
- By: IE Staff
- May 20, 2004 May 20, 2004
- 14:45
Enviromondial officer fined $77,000 for securities violations
Quebec man pleads guilty
- By: IE Staff
- May 20, 2004 May 20, 2004
- 12:55
Income trust investors to be sheltered from liability: Ontario budget
Government plans to introduce legislation
- By: IE Staff
- May 19, 2004 May 19, 2004
- 07:35
OSC issues cease trade order against Nortel insiders
Ontario pension fund files class-action suit
- By: IE Staff
- May 18, 2004 May 18, 2004
- 07:30
CSA seeks comment on revisions to insider reporting requirements
Comments due August 13
- By: IE Staff
- May 17, 2004 May 17, 2004
- 12:30
OSC seeks members for continuous disclosure committee
Applications due June 15
- By: IE Staff
- May 17, 2004 May 17, 2004
- 10:40
B.C. amends financial services legislation
Grants broader scope to credit unions
- By: IE Staff
- May 14, 2004 May 14, 2004
- 15:40
B.C. expands tax refunds for international business
Legislation aimed at creating new jobs
- By: IE Staff
- May 13, 2004 May 13, 2004
- 15:10
U.S. watchdog calls for end to fund trailer-type fees
NASAA wants fees to be replaced by minimum holding periods
- By: IE Staff
- May 11, 2004 May 11, 2004
- 15:55
CSA chair praises USL project
Sibold touts uniform securities law, argues against national regulator
- May 11, 2004 May 11, 2004
- 15:30
OSC teams to begin on-site visits
Mutual fund probe moves into phase three
- By: IE Staff
- May 10, 2004 May 10, 2004
- 13:20
Fed fines UBS $100 million for illegal cash transfers
Firm apologizes, dismisses employees
- By: IE Staff
- May 10, 2004 May 10, 2004
- 10:35
AMF seeking to cease trade former registered rep
Alleges former broker trading while suspended
- By: IE Staff
- May 10, 2004 May 10, 2004
- 09:10
Quebec launches investor education fund
AMF opens new head office in Quebec City
- By: IE Staff
- May 6, 2004 May 6, 2004
- 15:25
B.C. introduces new securities legislation
New law promises increased enforcement
- By: James Langton
- May 5, 2004 May 5, 2004
- 16:30
ICAC drumming up support for single regulator
Letter sent to TSX-listed companies
- By: IE Staff
- May 4, 2004 May 4, 2004
- 14:35
RS amends disciplinary proceedings
Administrative, editorial and technical nature, but necessary
- By: IE Staff
- April 30, 2004 April 30, 2004
- 16:10
CSA plans disclosure overhaul on funds
New rules to be published for comment next year
- By: James Langton
- April 30, 2004 April 30, 2004
- 11:30
Privacy disclosure list expands
More groups, including accountants, can request personal data without consent
- By: IE Staff
- April 30, 2004 April 30, 2004
- 10:50
What’s wrong with “junk”?
Some high-yield companies strategically maximize the use of debt in their capital structures to achieve targeted investor returns, says Moody’s
- By: James Langton
- April 30, 2004 April 30, 2004
- 10:40
OSFI offers transitional relief for banks
Three reporting periods to ignore new accounting requirements
- By: IE Staff
- April 30, 2004 April 30, 2004
- 09:30