Latest news in From the Regulators

Insurance company can’t sell to off-roaders

AMF issues order against Elite Insurance Co.

By: IE Staff
July 2, 2004 July 2, 2004
15:36

FSCO sets priorities for coming year

National harmony, more risk-based regulation, regulatory reforms, and improved service. Those are things the Financial Services Commission of Ontario would like to see in the…

By: James Langton
July 2, 2004 July 2, 2004
15:05

Ontario seeks input on mortgage broker review

Province considering minimum proficiency standards

By: IE Staff
July 2, 2004 July 2, 2004
10:50

Changes to Saskatchewan securities legislation now in effect

Three new provisions for investor protection

By: IE Staff
July 2, 2004 July 2, 2004
07:30

BOIA settles with SEC over market timing

Must pay US$50 million in disgorgements and penalties

By: IE Staff
June 30, 2004 June 30, 2004
16:17

SEC sanctions B.C. accountant

Settlement appropriate in light improper professional conduct, SEC says

By: IE Staff
June 29, 2004 June 29, 2004
16:16

Wall Street firms hit with US$610,000 in penalties

Clients didn’t receive fair price for bonds, NASD says

By: James Langton
June 29, 2004 June 29, 2004
15:57

U.S. securities industry growth slowing: report

Pace has leveled off, SIA says

By: James Langton
June 28, 2004 June 28, 2004
16:24

Broker banned for life

A former broker has been banned permanently from the industry and ordered to pay $167,000 in penalties for misappropriating more than $350,000 from his 90-year-old…

By: IE Staff
June 28, 2004 June 28, 2004
15:49

Nova Scotia dealer admits to stock manipulation

NSSC imposes five-year trading ban, $150,000 in penalties

By: IE Staff
June 28, 2004 June 28, 2004
14:39

OSC committed to single securities regulator

Commission releases statement of priorities for 2004/2005

By: James Langton
June 28, 2004 June 28, 2004
08:45

IDA rule would ensure CNQ securities not eligible for margin

Bourse de Montréal also in the process of passing amendment

By: IE Staff
June 25, 2004 June 25, 2004
13:02

Director pleads guilty

AMF seeks five-year ban against Stevens Demers

By: IE Staff
June 25, 2004 June 25, 2004
12:05

Fed sets sked for 2005

The U.S. Federal Open Market Committee announced its tentative meeting schedule for 2005 today.The Fed’s next scheduled meeting is a two-day affair next week, which…

By: IE Staff
June 25, 2004 June 25, 2004
10:27

OSC upholds Stikeman Elliott ruling

Firm ordered to be removed as counsel to Credit Suisse First Boston

By: IE Staff
June 25, 2004 June 25, 2004
09:52

Issuer correspondence to be made public, SEC says

Aim is to improve transparency

By: IE Staff
June 24, 2004 June 24, 2004
15:48

TD Waterhouse among five brokerages fined by NASD

Firms failed to prevent “late trading” in mutual funds

By: IE Staff
June 24, 2004 June 24, 2004
15:33

No need to for countries to coordinate macroeconomic policies: Dodge

Bank of Canada Governor stresses importance of information sharing

By: James Langton
June 24, 2004 June 24, 2004
11:40

CSA releases draft of Uniform Securities Transfer Act

Comments due July 30

By: IE Staff
June 24, 2004 June 24, 2004
10:42

Ontario unveils plan for single national regulator

Discussion paper has three key elements: one regulator, a common body of securities law and a single fee structure.

By: James Langton
June 24, 2004 June 24, 2004
10:36

Ending selective disclosure hurts small firms: paper

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