Regulatory reform, mutual fund abuses among big stories of 2004: survey
AIMR polls members of the year ahead
- By: James Langton
- January 15, 2004 January 15, 2004
- 16:10
Latest news in From the Regulators
Golden Rule founder back before OSC
Will consider whether to ban Glen Harper from trading, serving as director or officer
- By: IE Staff
- January 15, 2004 January 15, 2004
- 11:50
NASAA releases investor scams Top 10
Scams involving mutual fund practices, senior investment fraud, and variable annuities new to list in 2004
- By: IE Staff
- January 15, 2004 January 15, 2004
- 10:20
Single regulator a priority: Goodale
Canada ill-prepared to handle financial scandal
- By: James Langton
- January 14, 2004 January 14, 2004
- 16:55
SEC proposals aimed at protecting fund investors
Amendments designed to enhance fund governance
- By: IE Staff
- January 14, 2004 January 14, 2004
- 16:10
MFDA to explore joining CIPF
Special committee to consider costs, benefits
- By: James Langton
- January 12, 2004 January 12, 2004
- 16:10
Appeal court overturns BCSC decision on fraud
Court finds error in legal definition
- By: James Langton
- January 12, 2004 January 12, 2004
- 11:50
Fund governance proposal could save $158 million annually: OSC
Savings come from dropping constraints on related party transactions
- By: James Langton
- January 12, 2004 January 12, 2004
- 09:20
Proposed National Registration System would cut compliance costs
Applicants would only have to file with one regulator
- By: IE Staff
- January 9, 2004 January 9, 2004
- 11:45
Regulators propose mutual fund governance regime
CSA seeks comment on independent review committee proposal
- By: IE Staff
- January 9, 2004 January 9, 2004
- 09:10
Capital Markets Institute to present WPC research
Conference planned for January 30
- By: James Langton
- January 8, 2004 January 8, 2004
- 10:10
Number of NASD enforcements sets record
2003 a busy year for securities industry regulator
- By: James Langton
- January 5, 2004 January 5, 2004
- 10:50
Convicted Alberta trio permanently banned from B.C. securities market
Boyle brothers fail to appear in court
- By: IE Staff
- December 23, 2003 December 23, 2003
- 15:30
OSC freezes account amid ATI Technologies insider trading probe
Hearings scheduled for February
- By: IE Staff
- December 22, 2003 December 22, 2003
- 13:30
New national disclosure rules coming in the spring
CSA says new requirements brings harmonization
- By: IE Staff
- December 19, 2003 December 19, 2003
- 14:50
Reaction positive to WPC report
Industry supports call for national regulator
- By: James Langton
- December 17, 2003 December 17, 2003
- 16:10
Industry, investors must champion CSC: Phelps
No justification for Canada remaining without a national regulator
- By: James Langton
- December 17, 2003 December 17, 2003
- 14:10
Savings come from consolidating non-enforcement
A national regulator with multiple branches would in more economical, says study
- By: James Langton
- December 17, 2003 December 17, 2003
- 12:55
Study recommends decentralized enforcement model
Enforcement could benefit from more consistent approach but local knowledge is important
- By: James Langton
- December 17, 2003 December 17, 2003
- 12:35
Regulatory alternatives promise lower costs
No differences among three models
- By: James Langton
- December 17, 2003 December 17, 2003
- 12:10
Regional differences could be accommodated under single regulator: report
Local expertise could be maintained
- By: James Langton
- December 17, 2003 December 17, 2003
- 11:50
Constitution allows for single regulator
Legal opinions back up WPC recommendations
- By: James Langton
- December 17, 2003 December 17, 2003
- 11:40
WPC calls for single regulator
Regional commissioners would be appointed by Ottawa
- By: James Langton
- December 17, 2003 December 17, 2003
- 10:45
OSC approves settlement in sale EPA shares
Issues permanent cease trade orders
- By: IE Staff
- December 17, 2003 December 17, 2003
- 09:20
CSA releases proposed Uniform Securities Legislation
Seeks comment on two draft laws
- By: IE Staff
- December 16, 2003 December 16, 2003
- 11:30