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
Latest news in From the Regulators
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
Former CIBC exec charged in U.S. mutual fund probe
SEC, Spitzer lay "late-trading" charges
- By: IE Staff
- February 3, 2004 February 3, 2004
- 15:50
MFDA amends complaint policy
Rule changes now in effect
- By: James Langton
- February 3, 2004 February 3, 2004
- 14:30
RS seeks comment on changes to rules regarding manipulative trading
Regulator approves public access to hearings
- By: IE Staff
- February 3, 2004 February 3, 2004
- 10:30
SEC requests bigger budget for fiscal 2005
Regulator aims to hire 106 new employees
- By: IE Staff
- February 2, 2004 February 2, 2004
- 16:50
Martin gives GST rebate to cities
Promises overhaul of student loan program
- By: IE Staff
- February 2, 2004 February 2, 2004
- 16:50
OSC releases reasons for denying Norlyn registration
The Ontario Securities Commission has issued its’ reasons for denying continued registration to a fund dealer that has not yet been accepted into the Mutual…
- By: IE Staff
- February 2, 2004 February 2, 2004
- 15:50
Quebec creates new agency to fight economic crimes
New agency has $60 million annual budget
- By: IE Staff
- February 2, 2004 February 2, 2004
- 15:20
CSA seeks comment on changes to short-form prospectus rules
Amendments intended to reduce compliance costs
- By: IE Staff
- February 2, 2004 February 2, 2004
- 09:40
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
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