Latest news in From the Regulators

Quebec tables financial services report

Trust, savings companies profits down, insurers post gains

By: IE Staff
June 16, 2004 June 16, 2004
16:10

Fund rep denied registration

OSC says Sahil Celly violated insurance regulations

By: IE Staff
June 14, 2004 June 14, 2004
13:50

OSC denies registration of veteran rep

Lacks competence, solvency and integrity, OSC says

By: James Langton
June 11, 2004 June 11, 2004
15:51

OSC weighs in on joint-service arrangements, omnibus accounts

Commission asks: have fund dealers outlived their usefulness?

By: James Langton
June 11, 2004 June 11, 2004
15:40

OSC invites improper traders to turn themselves in

The Ontario Securities Commission is inviting market players who may have been involved in dodgy trading around pending private placements to turn themselves in —…

By: James Langton
June 11, 2004 June 11, 2004
13:58

IDA, MFDA to end joint service arrangements

Regulators cite "significant investor protection concerns"

By: James Langton
June 11, 2004 June 11, 2004
13:39

Single regulator or many regulators?

Study shows little evidence which is best

By: James Langton
June 10, 2004 June 10, 2004
11:49

STP a business decision, not regulatory one, says TowerGroup

SEC seeking comment on straight-through-processing paper

By: IE Staff
June 9, 2004 June 9, 2004
16:16

Single market for investment funds the aim for Europe

European securities regulators group says making market fully functional a priority

By: IE Staff
June 9, 2004 June 9, 2004
10:39

One-hour trade matching coming

Firms have a year to get ready for June 2005 start

By: IE Staff
June 9, 2004 June 9, 2004
08:12

AMF lays charges

The Autorité des marchés financiers is charging two men with carrying on business as securities dealers and distributing securities without a prospectus.The Quebec regulator said…

By: IE Staff
June 8, 2004 June 8, 2004
15:45