SEC lays fraud charge against Arizona firm
Former execs also charged in fund late trading and market timing schemes
- By: IE Staff
- November 26, 2003 November 26, 2003
- 09:20
Latest news in From the Regulators
Proposed B.C. Model offers investors greater protection: report
Stronger foundation for effective compliance and enforcement
- By: James Langton
- November 25, 2003 November 25, 2003
- 14:10
Wise Person’s Committee expects to deliver report in mid-December
Publishes papers on regulatory reform in US, EU and Australia
- By: IE Staff
- November 25, 2003 November 25, 2003
- 09:30
Assante Financial settles with OSC regarding unregistered reps
Agrees to review out-of-province trading
- By: IE Staff
- November 24, 2003 November 24, 2003
- 16:35
SEC adopts disclosure rules on director nominations
New rules enhance transparency
- By: IE Staff
- November 21, 2003 November 21, 2003
- 10:20
B.C. mining company fails to meet disclosure standards
Alhambra fined $20,000
- By: IE Staff
- November 19, 2003 November 19, 2003
- 09:50
Morgan Stanley pays US$50 million to SEC
Inadequate disclosure in mutual fund sales
- By: IE Staff
- November 17, 2003 November 17, 2003
- 15:30
Scam artists can hide behind impressive names
OSC offers tips to protect investors from fraud
- By: IE Staff
- November 17, 2003 November 17, 2003
- 12:10
MFDA enhances disclosure to clients
Ammendments on introducing, carrying dealers approved
- By: IE Staff
- November 17, 2003 November 17, 2003
- 09:10
Regulators express concern over non-GAAP disclosure
CSA worried investors may be confused or misled
- By: IE Staff
- November 17, 2003 November 17, 2003
- 08:55
OSC to appeal Donnini case
Regulator wants reduced suspension overturned
- By: IE Staff
- November 14, 2003 November 14, 2003
- 15:30
SEC, Putnam reach settlement
Governance, ethics reforms must be upgraded
- By: James Langton
- November 13, 2003 November 13, 2003
- 16:45
Still too many rules at BCSC: report
Number has increased in past two years, province says
- By: IE Staff
- November 13, 2003 November 13, 2003
- 16:35
B.C. releases reform proposals
Changes focus on increased competition, more consumer choice
- By: IE Staff
- November 13, 2003 November 13, 2003
- 16:30
MFDA issues warning to members
Some firms trading without registration
- By: IE Staff
- November 13, 2003 November 13, 2003
- 16:10
NRD brings changes to Saskatchewan registration process
New procedure for paying fees
- By: IE Staff
- November 12, 2003 November 12, 2003
- 15:35
Investors need to know markets are fair: Brown
OSC chairman outlines efforts to eliminate "unfair risk"
- By: James Langton
- November 12, 2003 November 12, 2003
- 10:20
Regulators release report on illegal insider trading
Recommendations focus on prevention, detection and deterrence
- By: IE Staff
- November 12, 2003 November 12, 2003
- 09:30
OSFI technology initiative to improve processes, information management
Will aid regulator in its role of overseeing financial institutions
- By: IE Staff
- November 10, 2003 November 10, 2003
- 11:10
Regulators approve amendments to MFDA rule on power of attorney
Power of attorney extended to accounts of family members
- By: IE Staff
- November 10, 2003 November 10, 2003
- 09:38
Minor changes to proposed continuous disclosure rule
New requirements will apply for financial years beginning on or after January 1, 2004
- By: IE Staff
- November 7, 2003 November 7, 2003
- 10:10
OSC responds to late trading, market timing in fund industry
Fund managers asked to confirm policies in place for preventing trading abuses
- By: IE Staff
- November 6, 2003 November 6, 2003
- 12:35
BCSC issues warning on foreign currency trading
Risk of loss greater with leveraged forex contracts
- By: IE Staff
- November 6, 2003 November 6, 2003
- 10:55
FINTRAC annual report highlights 103 cases of suspected money laundering
2.2 million transaction reports in fiscal 2003
- By: IE Staff
- November 6, 2003 November 6, 2003
- 08:40