Impact of U.S. rules on asset-backed securities to be felt in Canada
Canadian regulators likely to harmonize with SEC requirements: Torys
- By: IE Staff
- June 4, 2004 June 4, 2004
- 08:55
Latest news in From the Regulators
MFDA clarifies rules regarding changes to membership information
Members obliged to report material changes
- By: IE Staff
- June 3, 2004 June 3, 2004
- 15:45
SEC proposes new bank broker rules
Proposed rules would implement Gramm-Leach-Bliley definition of "broker"
- By: IE Staff
- June 2, 2004 June 2, 2004
- 13:45
State securities regulators play important role in protecting investors
NASAA president addresses U.S. Senate Banking Committee
- By: IE Staff
- June 2, 2004 June 2, 2004
- 10:25
NASD issues first fines in deceptive market timing in variable annuities
Davenport & Co. fined US$450,000
- By: IE Staff
- June 1, 2004 June 1, 2004
- 14:50
“Cherry-picked” performance data now a thing of the past: FSA
Standardized data must now be included in ads referring to past performance
- By: IE Staff
- June 1, 2004 June 1, 2004
- 13:10
IDA assails B.C. securities plan
CEO says B.C. proposals would make it tough to achieve a cost-efficient system
- By: IE Staff
- May 31, 2004 May 31, 2004
- 15:20
New version of National Registration Database unveiled
Allows IDA members to correct rep data
- By: James Langton
- May 31, 2004 May 31, 2004
- 12:25
CSA proposes harmonization of continuous disclosure requirements
New rule expect to be in place by December 31
- By: IE Staff
- May 28, 2004 May 28, 2004
- 15:35
Regulators release guidelines for capital accumulation plans
CSA working on harmonized national exemptions rule
- By: IE Staff
- May 28, 2004 May 28, 2004
- 11:30
OSC chairman urges cooperative approach to fighting economic crime
Enforcement community must be more unified says Brown
- By: IE Staff
- May 27, 2004 May 27, 2004
- 14:15
B.C. dealers to pay $95,000 for securities violations
DPM, Height of Excellence breached laws in selling limited partnerships
- By: IE Staff
- May 27, 2004 May 27, 2004
- 09:20
SEC moves to counter mutual fund abuses
Adopts new rules on ethics, disclosure of fund-fee discounts
- By: IE Staff
- May 26, 2004 May 26, 2004
- 13:55
OSC elected to IOSCO executive committee
Brown to represent regulator
- By: IE Staff
- May 25, 2004 May 25, 2004
- 15:40
OSC amends MFDA order
Changes reflect overhaul of MFSA governance
- By: IE Staff
- May 25, 2004 May 25, 2004
- 15:10
MFDA sets deadlines for dealing with out of province registrations
Firms must apply for registration or transfer client accounts
- By: IE Staff
- May 25, 2004 May 25, 2004
- 07:35
Alberta fund salesman fined for recommending unsuitable investments
ASC hands Wallace 15 year ban
- By: IE Staff
- May 21, 2004 May 21, 2004
- 12:10
CSA awards Test Your Financial I.Q. grand prize to young Quebecer
Essay wins $2,500 prize
- By: IE Staff
- May 21, 2004 May 21, 2004
- 09:45
Strong Capital settles fraud charges with SEC
Firm and founder agree to pay US$140 million
- By: IE Staff
- May 20, 2004 May 20, 2004
- 14:45
Enviromondial officer fined $77,000 for securities violations
Quebec man pleads guilty
- By: IE Staff
- May 20, 2004 May 20, 2004
- 12:55
Income trust investors to be sheltered from liability: Ontario budget
Government plans to introduce legislation
- By: IE Staff
- May 19, 2004 May 19, 2004
- 07:35
OSC issues cease trade order against Nortel insiders
Ontario pension fund files class-action suit
- By: IE Staff
- May 18, 2004 May 18, 2004
- 07:30
CSA seeks comment on revisions to insider reporting requirements
Comments due August 13
- By: IE Staff
- May 17, 2004 May 17, 2004
- 12:30
OSC seeks members for continuous disclosure committee
Applications due June 15
- By: IE Staff
- May 17, 2004 May 17, 2004
- 10:40
B.C. amends financial services legislation
Grants broader scope to credit unions
- By: IE Staff
- May 14, 2004 May 14, 2004
- 15:40