OSC launches second phase of probe into fund trading practices
No systemic abuses uncovered so far, regulator says
- By: IE Staff
- February 11, 2004 February 11, 2004
- 10:10
Latest news in From the Regulators
Law firm disqualified from defending CSFB
Panel finds "breach of loyalty" to RS
- By: IE Staff
- February 10, 2004 February 10, 2004
- 14:40
B.C. court declines to rule on legality of “naked short selling”
GeneMax lawsuit to proceed
- By: James Langton
- February 10, 2004 February 10, 2004
- 13:15
SEC settles fraud charges against promoter of prime bank securities
Issues bar against Kerr
- By: IE Staff
- February 10, 2004 February 10, 2004
- 10:55
Venture capital firm settles with BCSC over press release
Altura agrees to pay $20,000
- By: IE Staff
- February 6, 2004 February 6, 2004
- 09:30
MFDA issues “bulk” response to letter-writing campaign
Says rules intended to protect client information
- By: IE Staff
- February 5, 2004 February 5, 2004
- 17:10
Ontario premier calls for single securities regulator
Greater provincial cooperation needed says McGuinty
- By: IE Staff
- February 5, 2004 February 5, 2004
- 15:30
OSC releases decision on First Federal Capital
FFC, Freisner hit with permanent cease-trade orders
- By: IE Staff
- February 4, 2004 February 4, 2004
- 14:50
Former CIBC exec charged in U.S. mutual fund probe
SEC, Spitzer lay "late-trading" charges
- By: IE Staff
- February 3, 2004 February 3, 2004
- 15:50
MFDA amends complaint policy
Rule changes now in effect
- By: James Langton
- February 3, 2004 February 3, 2004
- 14:30
RS seeks comment on changes to rules regarding manipulative trading
Regulator approves public access to hearings
- By: IE Staff
- February 3, 2004 February 3, 2004
- 10:30
SEC requests bigger budget for fiscal 2005
Regulator aims to hire 106 new employees
- By: IE Staff
- February 2, 2004 February 2, 2004
- 16:50
Martin gives GST rebate to cities
Promises overhaul of student loan program
- By: IE Staff
- February 2, 2004 February 2, 2004
- 16:50
OSC releases reasons for denying Norlyn registration
The Ontario Securities Commission has issued its’ reasons for denying continued registration to a fund dealer that has not yet been accepted into the Mutual…
- By: IE Staff
- February 2, 2004 February 2, 2004
- 15:50
Quebec creates new agency to fight economic crimes
New agency has $60 million annual budget
- By: IE Staff
- February 2, 2004 February 2, 2004
- 15:20
CSA seeks comment on changes to short-form prospectus rules
Amendments intended to reduce compliance costs
- By: IE Staff
- February 2, 2004 February 2, 2004
- 09:40
OSC releases Fair Dealing Model concept paper
FDM shifts regulatory focus from products to relationships
- By: James Langton
- January 29, 2004 January 29, 2004
- 11:40
OSC grants exemptions
Restrictions eased for fund companies, LSIFs
- By: James Langton
- January 28, 2004 January 28, 2004
- 16:20
Caros charged with violating Quebec Securities Act
Faces minimum fine of $25,000 if found guilty on all counts
- By: IE Staff
- January 27, 2004 January 27, 2004
- 11:30
OSC approves changes to MFDA complaint rules
Direct settlement between reps and clients prohibited
- By: IE Staff
- January 26, 2004 January 26, 2004
- 08:50
OSC confirms investigation of Hollinger
Regulator sharing information with U.S. authorities
- By: IE Staff
- January 22, 2004 January 22, 2004
- 15:10
OSC refuses Open Access request for permanent MFDA exemption
Dealer to appeal to decision
- By: IE Staff
- January 22, 2004 January 22, 2004
- 11:40
OSC adjourns ATI Technologies hearing
New date to be announced
- By: IE Staff
- January 20, 2004 January 20, 2004
- 11:40
Single national regulator now on the table
Provinces discussing both single regulator and passport system
- By: James Langton
- January 19, 2004 January 19, 2004
- 16:10
CSA implements new investor confidence measures
New rules effective March 30
- By: IE Staff
- January 16, 2004 January 16, 2004
- 11:15