Wise Persons’ Committee to be unveiled tomorrow
News conference to be webcast
- By: IE Staff
- December 16, 2003 December 16, 2003
- 11:10
Latest news in From the Regulators
Quebec insider facing charges for untimely disclosure
Investors must have access to information in a reasonable time frame says QSC
- By: IE Staff
- December 16, 2003 December 16, 2003
- 08:50
Investors warned to watch out for pyramid schemes
Watchdog offer tips to avoid becoming a victim
- By: IE Staff
- December 15, 2003 December 15, 2003
- 11:50
OSC makes U-turn on Cowpland decision
Settlement made under the powers that existed at the time of the offence
- By: James Langton
- December 12, 2003 December 12, 2003
- 13:50
Task force recommends overhaul of securities regulations
Report calls for reform of IDA board, disciplinary panels
- By: James Langton
- December 12, 2003 December 12, 2003
- 11:10
OSC Chairman welcomes findings in Regulatory Burden report
Several recommendations already implemented
- By: IE Staff
- December 12, 2003 December 12, 2003
- 10:45
SEC charges junk bond fund with fraud
Alleges mispricing, insider trading in Heartland Advisors funds
- By: IE Staff
- December 11, 2003 December 11, 2003
- 15:30
OSC approves insider trading settlement with Finline manager
Carley fined $89,400
- By: IE Staff
- December 10, 2003 December 10, 2003
- 16:10
Ontario court dismisses OSC appeal for new Bre-X trial
Lawyer's conduct did not undermine fair trial
- By: James Langton
- December 10, 2003 December 10, 2003
- 15:55
NASD fines analyst for overstated research reports
Censures brokerage firms for issuing misleading research reports
- By: IE Staff
- December 10, 2003 December 10, 2003
- 10:10
MFDA governance by-laws approved
Public directors must not be affiliated with IFIC, IDA
- By: IE Staff
- December 5, 2003 December 5, 2003
- 15:20
SEC charges Texas firm in mutual fund scheme
Defendants deceived fund companies, shareholders
- By: IE Staff
- December 4, 2003 December 4, 2003
- 16:35
Quebec man fined $42,000 for securities violations
Poirier sold securities without registration
- By: IE Staff
- December 4, 2003 December 4, 2003
- 15:55
London mediation office to be set up
Will allow British, European residents to resolve disputes without traveling to U.S.
- By: IE Staff
- December 3, 2003 December 3, 2003
- 16:10
SEC takes aim at late trading, market timing in fund sector
New rules aimed at eliminating potential for late trading
- By: IE Staff
- December 3, 2003 December 3, 2003
- 16:00
CIRI, CSA disclosure guides endorsed by insider task force
CIRI “pleased” to be recognized as authority on disclosure best practices
- By: IE Staff
- December 3, 2003 December 3, 2003
- 14:00
SROs set for new privacy legislation
List standards for collection of personal information
- By: IE Staff
- December 3, 2003 December 3, 2003
- 11:30
NASD forms investor education foundation
Survey finds many people not up on investment basics
- By: IE Staff
- December 2, 2003 December 2, 2003
- 17:40
NASD proposes compliance rule changes
The U.S.-based National Association of Securities Dealers has filed a proposed rule amendment with the Securities and Exchange Commission that would require the CEO and…
- December 2, 2003 December 2, 2003
- 17:00
Comment sought on Alberta pension plan proposals
Changes aimed at strengthening risk management, disclosure and accountability
- By: IE Staff
- December 1, 2003 December 1, 2003
- 17:00
Insider trading comment sought
The Canadian Securities Administrators is seeking comment on the commendations it received from the illegal insider trading task force back in mid-November.The report, Illegal Insider…
- By: IE Staff
- December 1, 2003 December 1, 2003
- 15:50
IDA granted client relief
The Investment Dealers Association has won relief for its members from a yearend deadline for obtaining new directions regarding shareholder communication from clients currently deemed…
- By: IE Staff
- December 1, 2003 December 1, 2003
- 15:35
Integrated Market Enforcement Teams target capital markets fraud
Nine teams to cover Canada
- By: James Langton
- November 28, 2003 November 28, 2003
- 13:30
CSA implements new rule to ensure derivative disclosure
Broadens scope of insider reporting requirements
- By: IE Staff
- November 28, 2003 November 28, 2003
- 09:50
CAIF backs CSA income trust proposal
Says proposal will encourage growth
- By: IE Staff
- November 27, 2003 November 27, 2003
- 16:10