Brown says without a better model, current structure should be left as is; Hockin backs report
SIA says new rule will eliminate potential conflicts of interest
Agrees to Pay $100 million in penalties and disgorgement
Hearing to resume September 20
Gerry Phillips, chairman of Ontario’s Management Board Secretariat, has repeated his call for the creation of a single securities regulator.In late June, Phillips, who is…
42 investigations overall in first quarter 2004
National registration system eats into revenues
Former OSC executive director Ermanno Pascutto one of three new independents
Input sought for final IOSCO report
Proposed amendments would make it an offence to obstruct an investigation
Regulator publishes paper on Basel II guidelines
Hearing scheduled for September
The cost of market regulation is heading lower, according to Market Regulation Services Inc.’s new annual report for the year ended Feb. 29, 2004.In the…
Exemptions credited for increasing opportunities for investors, companies
Annuities sold to “professional market timing organizations”
Regulator committed to fulfill its investor protection mandate
Says staff failed to provide sufficient detail
Oil prices were again the culprit on Wednesday, but this time it was because they fell. That triggered a brief buying spree on Wall Street,…
“More intuitive, easier to navigate”
Securities Industry Association calls plan a “good step forward”
Firm to pay total US$2 million in fines and will be censured by NYSE
An Ontario Securities Commission panel has upheld Market Regulation Services Inc.’s decision that trader Donald Greco engaged in front-running.Greco sought a review of RS’s decision…
Franklin Advisers to pay US$50 million
Tells OSC it needed more time to ponder implications
SEC to consider sanctions