SEC charges FirstBoston unit with fraud
Alleges Columbia Management allowed market-timing practices
- By: IE Staff
- February 24, 2004 February 24, 2004
- 13:55
Latest news in From the Regulators
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
Change would help straight-through processing for trades
The Investment Dealers Association is proposing a rule change that would facilitate straight-through processing for trades between IDA membersThis is to be accomplished by mandating…
- By: IE Staff
- February 16, 2004 February 16, 2004
- 10:13
Rule change will mean extra burden, cost
MFDA publishes comments about proposal to require firms to notify MFDA about termination of reps
- By: IE Staff
- February 16, 2004 February 16, 2004
- 09:30
U.S. brokerage outlook “rosy”: report
S&P says positive trends in 2003 should continue
- By: IE Staff
- February 13, 2004 February 13, 2004
- 17:10
Quality of disclosure need improving: report
CSA report reviews 40 income trust issuers
- By: IE Staff
- February 12, 2004 February 12, 2004
- 16:50
SEC seeks to beef up fund disclosure
Also pondering ban on soft-dollar commissions
- By: James Langton
- February 12, 2004 February 12, 2004
- 16:20
SEC, NASD impose sanctions over breakpoint discounts
The U.S. Securities and Exchange Commission and the National Association of Securities Dealers are sanctioning 15 of the worst offenders for failing to deliver millions…
- By: James Langton
- February 12, 2004 February 12, 2004
- 15:35
IDA warns Ontario about tax rollbacks
Higher taxes will make province less competitive
- By: James Langton
- February 12, 2004 February 12, 2004
- 12:06
OSFI proposes changes to securitizations regulations
Would bring them more in line with U.S., European practices
- By: IE Staff
- February 12, 2004 February 12, 2004
- 11:50
MFDA releases results of on-site inspections
The Mutual Fund Dealers Association has released a list of the common deficiencies it found during on-site examinations of members. As well, the regulator says…
- By: IE Staff
- February 11, 2004 February 11, 2004
- 10:40
OSC launches second phase of probe into fund trading practices
No systemic abuses uncovered so far, regulator says
- By: IE Staff
- February 11, 2004 February 11, 2004
- 10:10
Law firm disqualified from defending CSFB
Panel finds "breach of loyalty" to RS
- By: IE Staff
- February 10, 2004 February 10, 2004
- 14:40
B.C. court declines to rule on legality of “naked short selling”
GeneMax lawsuit to proceed
- By: James Langton
- February 10, 2004 February 10, 2004
- 13:15
SEC settles fraud charges against promoter of prime bank securities
Issues bar against Kerr
- By: IE Staff
- February 10, 2004 February 10, 2004
- 10:55
Venture capital firm settles with BCSC over press release
Altura agrees to pay $20,000
- By: IE Staff
- February 6, 2004 February 6, 2004
- 09:30
MFDA issues “bulk” response to letter-writing campaign
Says rules intended to protect client information
- By: IE Staff
- February 5, 2004 February 5, 2004
- 17:10
Ontario premier calls for single securities regulator
Greater provincial cooperation needed says McGuinty
- By: IE Staff
- February 5, 2004 February 5, 2004
- 15:30
OSC releases decision on First Federal Capital
FFC, Freisner hit with permanent cease-trade orders
- By: IE Staff
- February 4, 2004 February 4, 2004
- 14:50