QSC fines reps for illegal distribution of OPTEC Fund securities
Chevrier agrees to $20,000 penalty
- By: James Langton
- September 17, 2003 September 17, 2003
- 16:40
Latest news in From the Regulators
Uniform securities laws not necessary says BCSC chair
Fate of passport model lies with ministers
- By: Kate McCaffery
- September 17, 2003 September 17, 2003
- 14:20
Buy side speaks out on corporate governance
New coalition issues series of guidelines
- By: Kate McCaffery
- September 16, 2003 September 16, 2003
- 14:55
U.S. broker charged with unlawful trading of funds
Sihpol executed trades for Canary Capital hedge fund
- By: IE Staff
- September 16, 2003 September 16, 2003
- 13:20
B.C. advisor settles over breach of “Know your client” rule
Former Raymond James rep fined $18,000
- By: IE Staff
- September 16, 2003 September 16, 2003
- 10:10
Onus partly on consumers, FSA says
British regulator explains its thinking behind allowing financial firms to fail
- By: IE Staff
- September 15, 2003 September 15, 2003
- 15:40
SEC, NASAA push for improved communication
Working group to look at better ways to enforce activities against market players
- By: IE Staff
- September 15, 2003 September 15, 2003
- 15:30
Pension plans urged to file valuation reports on time: OSFI
Late filers may face regulatory action
- By: IE Staff
- September 12, 2003 September 12, 2003
- 10:10
CPP Investment Board insiders exempted from filing requirements
Board not considered an institutional investor
- By: IE Staff
- September 11, 2003 September 11, 2003
- 12:25
Former B.C. rep hit with 30-year trading ban
Rast fined $200,000 for stealing from clients
- By: IE Staff
- September 9, 2003 September 9, 2003
- 09:30
OSC proposes changes to rules governing employees trading in shares of their employers
Amendments fix shortcomings
- By: IE Staff
- September 8, 2003 December 14, 2017
- 10:50
OSC clarifies liability for private placements
Underwriters not included in defendant class
- By: IE Staff
- September 8, 2003 September 8, 2003
- 09:10
OSFI releases guideline on Appointed Actuaries
Outlines responsibilities, reviews minimum qualifications
- By: IE Staff
- September 5, 2003 September 5, 2003
- 13:50
OSC schedules hearing for ATI insider trading
Chairman, six others under investigation
- By: IE Staff
- September 4, 2003 September 4, 2003
- 11:10
Canadian Securities Administrators restructure
CSA establishes permanent secretariat in Montreal
- By: IE Staff
- September 4, 2003 September 4, 2003
- 09:55
New York investigation reveals mutual fund fraud
Secret trading schemes harmed long-term investors
- By: IE Staff
- September 3, 2003 September 3, 2003
- 15:10
OSC finds disclosure problems
Continuous Disclosure review highlights deficiencies
- By: James Langton
- September 3, 2003 September 3, 2003
- 11:10
OSC seeks comment on revised MFDA governance framework
By-law amendments reflect committee recommendations
- By: IE Staff
- September 2, 2003 September 2, 2003
- 13:25
OSC amends proficiency requirements for compliance staff
Amendments recognize practical experience
- By: IE Staff
- September 2, 2003 September 2, 2003
- 13:10
BCSC issues final sanctions in Canadian Global Investment matter
Fund salesman’s fine reduced
- By: Lara Hertel
- August 27, 2003 August 27, 2003
- 13:45
Court reverses order regarding advisor-client relationship
Advisor not in fiduciary relationship with client, Appeal Court says
- By: James Langton
- August 26, 2003 August 26, 2003
- 14:50
BCSC takes issue with OSC criticisms
Says OSC “raising false alarms” over its deregulation plans
- By: James Langton
- August 26, 2003 August 26, 2003
- 10:20
TSX blocked from buying ATS stake
TSX Group has been blocked from buying 4.85% of alternative trading system Archipelago Holdings LLC.The TSX planned to purchase the stake in Archipelago from a…
- By: IE Staff
- August 26, 2003 August 26, 2003
- 10:00
RBC Asset Management gets regulatory relief from prospectus requirement for PAPs
Conditions set for disclosure for existing funds
- By: IE Staff
- August 25, 2003 August 25, 2003
- 14:10
OSC continues to operate with essential services only
Asks for co-operation in delaying non-urgent matters
- By: IE Staff
- August 20, 2003 August 20, 2003
- 10:45