Fed fines UBS $100 million for illegal cash transfers
Firm apologizes, dismisses employees
- By: IE Staff
- May 10, 2004 May 10, 2004
- 10:35
Latest news in From the Regulators
AMF seeking to cease trade former registered rep
Alleges former broker trading while suspended
- By: IE Staff
- May 10, 2004 May 10, 2004
- 09:10
Quebec launches investor education fund
AMF opens new head office in Quebec City
- By: IE Staff
- May 6, 2004 May 6, 2004
- 15:25
B.C. introduces new securities legislation
New law promises increased enforcement
- By: James Langton
- May 5, 2004 May 5, 2004
- 16:30
ICAC drumming up support for single regulator
Letter sent to TSX-listed companies
- By: IE Staff
- May 4, 2004 May 4, 2004
- 14:35
RS amends disciplinary proceedings
Administrative, editorial and technical nature, but necessary
- By: IE Staff
- April 30, 2004 April 30, 2004
- 16:10
CSA plans disclosure overhaul on funds
New rules to be published for comment next year
- By: James Langton
- April 30, 2004 April 30, 2004
- 11:30
Privacy disclosure list expands
More groups, including accountants, can request personal data without consent
- By: IE Staff
- April 30, 2004 April 30, 2004
- 10:50
What’s wrong with “junk”?
Some high-yield companies strategically maximize the use of debt in their capital structures to achieve targeted investor returns, says Moody’s
- By: James Langton
- April 30, 2004 April 30, 2004
- 10:40
OSFI offers transitional relief for banks
Three reporting periods to ignore new accounting requirements
- By: IE Staff
- April 30, 2004 April 30, 2004
- 09:30
Canadian businessman arrested on fraud charges
Accused of misstating financial results in deal with Bombardier
- By: IE Staff
- April 28, 2004 April 28, 2004
- 14:55
B.C. to amend partnership legislation
British Columbia is proposing amendments to the Partnership Act to facilitate the creation of limited liability partnerships.B.C. Finance Minister Gary Collins said the move is…
- By: IE Staff
- April 28, 2004 April 28, 2004
- 14:35
Pension crisis exists, CFO survey says
Many Canadian companies are reviewing or already have reviewed the design of their pension plans in the wake of what they believe is a pension…
- By: IE Staff
- April 28, 2004 April 28, 2004
- 13:35
AMF brings insider trading charges against ConjuChem director
Regulator seeking $20,000 fine
- By: IE Staff
- April 28, 2004 April 28, 2004
- 09:10
MFDA seeking policy committee members
Deadline for applications is May 31
- By: IE Staff
- April 26, 2004 April 26, 2004
- 07:50
CSA issues fund of funds FAQ
Revises continuous disclosure FAQ
- By: IE Staff
- April 23, 2004 April 23, 2004
- 15:20
Supreme Court restores $100,000 penalties against leaders in Cartaway scheme
Deterrence appropriate factor in determining penalty says top court
- By: Stewart Lewis
- April 23, 2004 April 23, 2004
- 12:30
AMF issues reminder on investment guarantees
Quebecers mistakenly believe that their investments are protected against losses: survey
- By: IE Staff
- April 23, 2004 April 23, 2004
- 09:20
OECD countries approve new corporate governance principles
Guidelines promote efficient markets, effective enforcement
- By: James Langton
- April 22, 2004 April 22, 2004
- 10:55
OSC approves settlement with former Buckingham principal
Bromberg agrees to permanently refrain from seeking registration
- By: IE Staff
- April 21, 2004 April 21, 2004
- 14:55
AMF brings criminal charges against unregistered dealer
Forex president facing 60 counts
- By: IE Staff
- April 20, 2004 April 20, 2004
- 16:10
Brown, Stymiest tout single regulator
Provinces unlikely to follow through on reform says TSX chief
- By: James Langton
- April 20, 2004 April 20, 2004
- 14:55
BCSC cease-trades three companies
Insider given 12 year ban
- By: IE Staff
- April 20, 2004 April 20, 2004
- 09:10
AMF to pay compensation for invalid Lloyd’s policies
Claims could surpass $6 million
- By: IE Staff
- April 20, 2004 April 20, 2004
- 07:40