FSA looks to speed up enforcement procedures
British regulator acknowledges need to act faster
- By: James Langton
- July 16, 2004 July 16, 2004
- 10:48
Latest news in From the Regulators
CSA to conduct harmonized reviews of continuous disclosure records
New CD rule took effect March 30
- By: James Langton
- July 16, 2004 July 16, 2004
- 10:14
Court blocks sale of property by B.C. advisor under investigation
BCSC hearing scheduled for September
- By: James Langton
- July 16, 2004 July 16, 2004
- 08:30
OSC mulling over new rules for scholarship plans
Review uncovers problems with compliance
- By: James Langton
- July 15, 2004 July 15, 2004
- 12:30
OSC sets hearing for Jefferson Banfield
Alleges trading ahead of a private placement
- By: IE Staff
- July 15, 2004 July 15, 2004
- 11:35
OSC disclosure committee members appointed
Two-year terms for members
- By: IE Staff
- July 14, 2004 July 14, 2004
- 10:59
Former CIBC exec settles with SEC over loans to Enron
A former managing director with Canadian Imperial Bank of Commerce agreed to pay US$528,750 to settle Securities and Exchange charges brought in connection with the…
- By: IE Staff
- July 14, 2004 July 14, 2004
- 08:50
Organizing a meeting doesn’t mean furthering a trade: OSC
An Ontario Securities Commission hearing panel has ruled that merely arranging a meeting to hear about a possible investment opportunity does not necessarily constitute “acting…
- By: IE Staff
- July 13, 2004 July 13, 2004
- 15:28
Piper Jaffray fined for “spinning” IPOs
The National Association of Securities Dealers has censured and fined Piper Jaffray & Co. US$2.4 million for engaging in “spinning” initial public offerings. The Washington-based…
- By: IE Staff
- July 12, 2004 July 12, 2004
- 16:39
OSFI issues guideline to combat money laundering, terrorist financing
Financial institutions’ reputations, operations at risk, office says
- By: James Langton
- July 12, 2004 July 12, 2004
- 16:31
Hamilton broker banned for life
Robert Binnington cheated clients out of a total of US$1.2 million and $410,000
- By: IE Staff
- July 12, 2004 July 12, 2004
- 15:26
FSCO outlines new monitoring model for DB pension plans
Aim is to reduce risk plan members will not receive benefits promised
- By: IE Staff
- July 12, 2004 July 12, 2004
- 13:48
Changes would speed up course registration process
IDA wants to recognize additional course, eliminate duplication
- By: James Langton
- July 12, 2004 July 12, 2004
- 12:38
OSC approves day-trading rules
Only one comment letter received, from Swift Trade Securities Inc.,
- By: James Langton
- July 12, 2004 July 12, 2004
- 10:47
Penal proceedings against Quebecer
AMF says Victor Darac faces 17 counts of having violated the Québec Act
- By: IE Staff
- July 12, 2004 July 12, 2004
- 10:14
Stymiest hopes national securities plan will proceed
Minority status shouldn’t get in way of dealing with contentious issues
- By: James Langton
- July 12, 2004 July 12, 2004
- 07:25
Good news, bad news from OSC compliance report
No new types of problems, but what’s out there is more widespread
- By: James Langton
- July 12, 2004 July 12, 2004
- 07:20
OMERS confirms FSCO inquiry
Focus is on pension giant's investment in Borealis Capital Corp.
- By: James Langton
- July 8, 2004 July 8, 2004
- 15:13
Lay pleads not guilty fraud charges
SEC files civil charges against former Enron chairman
- By: James Langton
- July 8, 2004 July 8, 2004
- 14:58
OSFI, FINTRAC tackle money laundering, terrorist financing
Sign agreement to exchange information
- By: James Langton
- July 8, 2004 July 8, 2004
- 12:34
Quebec regulator going to court to compel testimony
Nadeau summoned to answer contempt of court charge
- By: IE Staff
- July 7, 2004 July 7, 2004
- 07:40
Blowing the whistle on misleading advertising
Britain’s FSA sets up hotline for complaints about financial products
- By: James Langton
- July 6, 2004 July 6, 2004
- 10:30
Fund dealer upset over OSC decision-making process
Monarch Delaney says compliance issue resolved by time it was reported; OSC stands by its order
- By: James Langton
- July 6, 2004 July 6, 2004
- 09:35
Manitoba broker banned
Donnelle J.L. Loewen also fined $50,000 plus costs
- By: IE Staff
- July 5, 2004 July 5, 2004
- 13:23