OSC releases Fair Dealing Model concept paper
FDM shifts regulatory focus from products to relationships
- By: James Langton
- January 29, 2004 January 29, 2004
- 11:40
Latest news in From the Regulators
OSC grants exemptions
Restrictions eased for fund companies, LSIFs
- By: James Langton
- January 28, 2004 January 28, 2004
- 16:20
Caros charged with violating Quebec Securities Act
Faces minimum fine of $25,000 if found guilty on all counts
- By: IE Staff
- January 27, 2004 January 27, 2004
- 11:30
OSC approves changes to MFDA complaint rules
Direct settlement between reps and clients prohibited
- By: IE Staff
- January 26, 2004 January 26, 2004
- 08:50
OSC confirms investigation of Hollinger
Regulator sharing information with U.S. authorities
- By: IE Staff
- January 22, 2004 January 22, 2004
- 15:10
OSC refuses Open Access request for permanent MFDA exemption
Dealer to appeal to decision
- By: IE Staff
- January 22, 2004 January 22, 2004
- 11:40
OSC adjourns ATI Technologies hearing
New date to be announced
- By: IE Staff
- January 20, 2004 January 20, 2004
- 11:40
Single national regulator now on the table
Provinces discussing both single regulator and passport system
- By: James Langton
- January 19, 2004 January 19, 2004
- 16:10
CSA implements new investor confidence measures
New rules effective March 30
- By: IE Staff
- January 16, 2004 January 16, 2004
- 11:15
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
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