Canadian businessman arrested on fraud charges
Accused of misstating financial results in deal with Bombardier
- By: IE Staff
- April 28, 2004 April 28, 2004
- 14:55
Latest news in From the Regulators
B.C. to amend partnership legislation
British Columbia is proposing amendments to the Partnership Act to facilitate the creation of limited liability partnerships.B.C. Finance Minister Gary Collins said the move is…
- By: IE Staff
- April 28, 2004 April 28, 2004
- 14:35
Pension crisis exists, CFO survey says
Many Canadian companies are reviewing or already have reviewed the design of their pension plans in the wake of what they believe is a pension…
- By: IE Staff
- April 28, 2004 April 28, 2004
- 13:35
AMF brings insider trading charges against ConjuChem director
Regulator seeking $20,000 fine
- By: IE Staff
- April 28, 2004 April 28, 2004
- 09:10
MFDA seeking policy committee members
Deadline for applications is May 31
- By: IE Staff
- April 26, 2004 April 26, 2004
- 07:50
CSA issues fund of funds FAQ
Revises continuous disclosure FAQ
- By: IE Staff
- April 23, 2004 April 23, 2004
- 15:20
Supreme Court restores $100,000 penalties against leaders in Cartaway scheme
Deterrence appropriate factor in determining penalty says top court
- By: Stewart Lewis
- April 23, 2004 April 23, 2004
- 12:30
AMF issues reminder on investment guarantees
Quebecers mistakenly believe that their investments are protected against losses: survey
- By: IE Staff
- April 23, 2004 April 23, 2004
- 09:20
OECD countries approve new corporate governance principles
Guidelines promote efficient markets, effective enforcement
- By: James Langton
- April 22, 2004 April 22, 2004
- 10:55
OSC approves settlement with former Buckingham principal
Bromberg agrees to permanently refrain from seeking registration
- By: IE Staff
- April 21, 2004 April 21, 2004
- 14:55
AMF brings criminal charges against unregistered dealer
Forex president facing 60 counts
- By: IE Staff
- April 20, 2004 April 20, 2004
- 16:10
Brown, Stymiest tout single regulator
Provinces unlikely to follow through on reform says TSX chief
- By: James Langton
- April 20, 2004 April 20, 2004
- 14:55
BCSC cease-trades three companies
Insider given 12 year ban
- By: IE Staff
- April 20, 2004 April 20, 2004
- 09:10
AMF to pay compensation for invalid Lloyd’s policies
Claims could surpass $6 million
- By: IE Staff
- April 20, 2004 April 20, 2004
- 07:40
Bre-X trial to resume in December
Judge approves schedule for Felderhof trial
- By: IE Staff
- April 19, 2004 April 19, 2004
- 15:10
Regulators confirm importance of straight-through processing
Achieving industry-wide straight-through processing (STP) is important to maintaining the global competitiveness of the Canadian capital markets, say the Canadian Securities Administrators in a discussion…
- By: IE Staff
- April 19, 2004 April 19, 2004
- 11:50
OSC to launch risk assessment questionnaire for advisors, fund managers
Online questionnaire follows 2002 review
- By: IE Staff
- April 19, 2004 April 19, 2004
- 09:10
Quebec, Ontario regulators grant exemptions to ME, TSX
AMF, OSC to act as lead regulators
- By: IE Staff
- April 16, 2004 April 16, 2004
- 16:35
OSC targets Buckingham for securities violations
The Ontario Securities Commission today issued a long list of allegations against Buckingham Securities Corp. several of its executives, and its auditors.The regulator alleges that…
- By: IE Staff
- April 16, 2004 April 16, 2004
- 12:25
OSC warns of risks in FOREX market
Investors urged to read "fine print"
- By: IE Staff
- April 15, 2004 April 15, 2004
- 09:45
SEC adopts fund disclosure rules
Rules designed to shine light on market timing
- By: IE Staff
- April 13, 2004 April 13, 2004
- 15:55
Former Golden Rule CEO slapped with 15 year trading ban
Protective order made in view of past conduct
- By: IE Staff
- April 12, 2004 April 12, 2004
- 15:25
BC trio receives three-year ban
Fund salesmen settle with BCSC
- By: IE Staff
- April 8, 2004 April 8, 2004
- 15:40
Scotia Capital chairman calls for single regulator
13 regulators can't deliver best standards, investor protection
- By: IE Staff
- April 7, 2004 April 7, 2004
- 08:20
Brown stresses importance of investors’ trust
Speaks to launch of Investor Education Awareness campaign
- By: Lara Hertel
- April 5, 2004 April 5, 2004
- 12:38