SEC settles with firms for violating securities laws, NYSE regulations
Firms to pay more than US$240 million in penalties and disgorgement
- By: IE Staff
- March 30, 2004 March 30, 2004
- 13:40
Latest news in From the Regulators
New rules promote investor confidence: CSA
Regulators make significant changes disclosure and governance practices
- By: IE Staff
- March 29, 2004 March 29, 2004
- 13:30
CSA issues continuous disclosure FAQ
New rules effective March 30
- By: IE Staff
- March 26, 2004 March 26, 2004
- 15:15
ASC releases decisions in regard to Anthony Clark International
Podorieszachs breached Securities Act; Roche allegations dismissed
- By: IE Staff
- March 26, 2004 March 26, 2004
- 15:15
Competition Bureau seeks comment on merger enforcement guidelines
Comments due by May 25
- By: IE Staff
- March 26, 2004 March 26, 2004
- 10:20
BCSC lauded for public access to information
Web filing service wins award
- By: IE Staff
- March 24, 2004 March 24, 2004
- 12:45
OSC grants Canaccord exemption for out-of-province reps
Proficiency requirements grandfathered
- By: IE Staff
- March 24, 2004 March 24, 2004
- 12:30
ASC issues interim orders against TSX-listed Wenzel Downhole, principal
Cease trade orders in effect for 15 days
- By: IE Staff
- March 22, 2004 March 22, 2004
- 14:20
U.K. regulator unveils new rules on analyst conflicts of interest
Firms required to implement policies by July 1
- By: IE Staff
- March 22, 2004 March 22, 2004
- 10:55
CEO gets nine year ban
BCSC fines de Jaray $100K for violations
- By: IE Staff
- March 19, 2004 March 19, 2004
- 11:40
B.C. mortgage broker squandered GIC funds in stock market
Victim of deception wins breach of trust claim
- By: James Langton
- March 19, 2004 March 19, 2004
- 10:50
MFDA unveils new policy committees
Goal is to improve member participation
- By: IE Staff
- March 18, 2004 March 18, 2004
- 11:10
CSA extends comment period for governance reforms
Gives guidance on new prospectus rules
- By: IE Staff
- March 12, 2004 March 12, 2004
- 11:55
MFDA announces elections for regional councils
Nominations open until April 2
- By: IE Staff
- March 5, 2004 March 5, 2004
- 16:30
FSCO to treat appeal court decision as binding, pending review
ING Canada files pension transfer appeal with Supreme Court
- By: IE Staff
- March 5, 2004 March 5, 2004
- 14:30
OSC turns down MFDA exemption request by Open Access
Clients need protection says regulator
- By: James Langton
- March 4, 2004 March 4, 2004
- 17:30
Gifford loses appeal to Supreme Court
Advisor not allowed to deduct expenses incurred to buying client list
- By: Stewart Lewis
- March 4, 2004 March 4, 2004
- 16:30
Ontario Privacy Commissioner pleased with CICA privacy tool
Will help businesses comply with privacy laws says Cavoukian
- By: IE Staff
- March 3, 2004 March 3, 2004
- 13:20
AIMR lends support to call for a single regulator
The Association for Investment Management and Research (AIMR) has joined forces with several leading industry associations in an initiative to promote the adoption of a…
- By: IE Staff
- March 3, 2004 March 3, 2004
- 10:50
TSX completes NGX deal
Natural gas exchange extends product reach, TSX says
- By: IE Staff
- March 1, 2004 March 1, 2004
- 16:30
Governance requirements outlined
Come into force March 30
- By: IE Staff
- March 1, 2004 March 1, 2004
- 16:15
Ottawa to study charitable giving
Senate banking committee to report by Dec. 31
- By: IE Staff
- March 1, 2004 March 1, 2004
- 14:26
New MOC feature will improve access, fairness, TSX says
Brokerage firms will be able to execute “market-on-close” orders at the end of the regular session for S&P TSX 60 symbols
- By: IE Staff
- March 1, 2004 March 1, 2004
- 12:40
Fair Dealing Model groups meet
Orientation session for six industry groups
- By: James Langton
- March 1, 2004 March 1, 2004
- 11:10
B.C. court says statement of claim too “confusing”
Isaac statement is struck, but can be redrafted
- By: IE Staff
- March 1, 2004 March 1, 2004
- 09:59