Gifford loses appeal to Supreme Court
Advisor not allowed to deduct expenses incurred to buying client list
- By: Stewart Lewis
- March 4, 2004 March 4, 2004
- 16:30
Latest news in From the Regulators
Ontario Privacy Commissioner pleased with CICA privacy tool
Will help businesses comply with privacy laws says Cavoukian
- By: IE Staff
- March 3, 2004 March 3, 2004
- 13:20
AIMR lends support to call for a single regulator
The Association for Investment Management and Research (AIMR) has joined forces with several leading industry associations in an initiative to promote the adoption of a…
- By: IE Staff
- March 3, 2004 March 3, 2004
- 10:50
TSX completes NGX deal
Natural gas exchange extends product reach, TSX says
- By: IE Staff
- March 1, 2004 March 1, 2004
- 16:30
Governance requirements outlined
Come into force March 30
- By: IE Staff
- March 1, 2004 March 1, 2004
- 16:15
Ottawa to study charitable giving
Senate banking committee to report by Dec. 31
- By: IE Staff
- March 1, 2004 March 1, 2004
- 14:26
New MOC feature will improve access, fairness, TSX says
Brokerage firms will be able to execute “market-on-close” orders at the end of the regular session for S&P TSX 60 symbols
- By: IE Staff
- March 1, 2004 March 1, 2004
- 12:40
Fair Dealing Model groups meet
Orientation session for six industry groups
- By: James Langton
- March 1, 2004 March 1, 2004
- 11:10
B.C. court says statement of claim too “confusing”
Isaac statement is struck, but can be redrafted
- By: IE Staff
- March 1, 2004 March 1, 2004
- 09:59
Transition period for personal corporations extended
The Mutual Fund Dealers Association has extended the transition period for the use of personal corporations in some provinces, but not Alberta and New Brunswick.…
- By: IE Staff
- March 1, 2004 March 1, 2004
- 09:30
CSA issues warning on failure to file certifications
Rule pending provincial approval
- By: IE Staff
- February 27, 2004 February 27, 2004
- 14:35
Reps must clear unsuitable, unsolicited orders: MFDA
Consolidated summaries must include disclaimer
- By: IE Staff
- February 27, 2004 February 27, 2004
- 11:20
SEC proposes mandatory redemption fees for mutual funds
Measure designed to combat market timing
- By: IE Staff
- February 27, 2004 February 27, 2004
- 08:40
OSC oversight shifts to Management Board
Ontario finance minister linked to Royal Group
- By: IE Staff
- February 27, 2004 February 27, 2004
- 08:30
SEC proposes ban on commissions to finance mutual fund distribution
Regulator seeks comment on rule change
- By: IE Staff
- February 25, 2004 February 25, 2004
- 15:40
ASC reports Q3 loss
Shortfall in revenue due to implementation of new registration system
- By: IE Staff
- February 25, 2004 February 25, 2004
- 11:50
SEC approves distribution of disgorgement fund
US$5 million earmarked for victims of misleading analyst research
- By: IE Staff
- February 25, 2004 February 25, 2004
- 08:30
SEC charges FirstBoston unit with fraud
Alleges Columbia Management allowed market-timing practices
- By: IE Staff
- February 24, 2004 February 24, 2004
- 13:55
Saskatchewan approves TSX Venture short form offering exemption
Province follows Alberta, B.C. regulators
- By: IE Staff
- February 23, 2004 February 23, 2004
- 16:10
Leadership distinguishes SEC chairman’s first year in office
SIA applauds Donaldson
- By: IE Staff
- February 23, 2004 February 23, 2004
- 15:30
OSC confirms Biovail investigation
Suspicious trading under review
- By: IE Staff
- February 20, 2004 February 20, 2004
- 16:10
CSA extends deadline for comments on Uniform Securities Act
New deadline set for May 17
- By: IE Staff
- February 19, 2004 February 19, 2004
- 16:30
NASD fines State Street Research US$1 million for poor supervision
Firm ordered to pay restitution for market timing violations
- By: IE Staff
- February 19, 2004 February 19, 2004
- 16:10
MFDA commission transition period extended to 2006
Commisions may be paid to personal corporations
- By: IE Staff
- February 19, 2004 February 19, 2004
- 09:10
Practice standards comments released
Joint Forum of Financial Market Regulators pushing for uniform standard of fair conduct in financial transactions
- By: IE Staff
- February 16, 2004 February 16, 2004
- 10:36