U.K. regulator unveils new rules on analyst conflicts of interest
Firms required to implement policies by July 1
- By: IE Staff
- March 22, 2004 March 22, 2004
- 10:55
Latest news in From the Regulators
CEO gets nine year ban
BCSC fines de Jaray $100K for violations
- By: IE Staff
- March 19, 2004 March 19, 2004
- 11:40
B.C. mortgage broker squandered GIC funds in stock market
Victim of deception wins breach of trust claim
- By: James Langton
- March 19, 2004 March 19, 2004
- 10:50
MFDA unveils new policy committees
Goal is to improve member participation
- By: IE Staff
- March 18, 2004 March 18, 2004
- 11:10
CSA extends comment period for governance reforms
Gives guidance on new prospectus rules
- By: IE Staff
- March 12, 2004 March 12, 2004
- 11:55
MFDA announces elections for regional councils
Nominations open until April 2
- By: IE Staff
- March 5, 2004 March 5, 2004
- 16:30
FSCO to treat appeal court decision as binding, pending review
ING Canada files pension transfer appeal with Supreme Court
- By: IE Staff
- March 5, 2004 March 5, 2004
- 14:30
OSC turns down MFDA exemption request by Open Access
Clients need protection says regulator
- By: James Langton
- March 4, 2004 March 4, 2004
- 17:30
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
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