NRD brings changes to Saskatchewan registration process
New procedure for paying fees
- By: IE Staff
- November 12, 2003 November 12, 2003
- 15:35
Latest news in From the Regulators
Investors need to know markets are fair: Brown
OSC chairman outlines efforts to eliminate "unfair risk"
- By: James Langton
- November 12, 2003 November 12, 2003
- 10:20
Regulators release report on illegal insider trading
Recommendations focus on prevention, detection and deterrence
- By: IE Staff
- November 12, 2003 November 12, 2003
- 09:30
OSFI technology initiative to improve processes, information management
Will aid regulator in its role of overseeing financial institutions
- By: IE Staff
- November 10, 2003 November 10, 2003
- 11:10
Regulators approve amendments to MFDA rule on power of attorney
Power of attorney extended to accounts of family members
- By: IE Staff
- November 10, 2003 November 10, 2003
- 09:38
Minor changes to proposed continuous disclosure rule
New requirements will apply for financial years beginning on or after January 1, 2004
- By: IE Staff
- November 7, 2003 November 7, 2003
- 10:10
OSC responds to late trading, market timing in fund industry
Fund managers asked to confirm policies in place for preventing trading abuses
- By: IE Staff
- November 6, 2003 November 6, 2003
- 12:35
BCSC issues warning on foreign currency trading
Risk of loss greater with leveraged forex contracts
- By: IE Staff
- November 6, 2003 November 6, 2003
- 10:55
FINTRAC annual report highlights 103 cases of suspected money laundering
2.2 million transaction reports in fiscal 2003
- By: IE Staff
- November 6, 2003 November 6, 2003
- 08:40
Four Ontario residents arrested in offshore investment fraud
The Royal Canadian Mounted Police has arrested four people in Ontario in connection with an alleged fraudulent offshore investment scheme.Police have so far identified 15…
- By: IE Staff
- November 5, 2003 November 5, 2003
- 14:10
BCSC warns of crackdown on faulty mining industry disclosures
Workshop designed to help companies improve disclosure
- By: IE Staff
- November 5, 2003 November 5, 2003
- 10:10
Scandal grows south of the border
More companies are likely to be charged in the burgeoning scandal surrounding the U.S. mutual fund industry, the head of the Securities and Exchange Commission’s…
- By: IE Staff
- November 4, 2003 November 4, 2003
- 16:45
Combine passport model with USL
Both tools needed for reform says CSA chairman
- By: James Langton
- November 4, 2003 November 4, 2003
- 10:20
OSC offers tips to avoid investment fraud
Regulator marks Crime Prevention Week
- By: IE Staff
- November 4, 2003 November 4, 2003
- 09:50
SEC, NASD focus on break-point discounts
Clients may be due refunds on front-end loads
- By: IE Staff
- November 3, 2003 November 3, 2003
- 16:40
OSC proposes changes to trading rules
Amendments based on input from Trade Reporting and Electronic Audit Trail Committee
- By: James Langton
- November 3, 2003 November 3, 2003
- 13:25
Court approves SEC global research analyst settlement
Prominent analysts slapped with permanent ban
- By: IE Staff
- November 3, 2003 November 3, 2003
- 11:15
OSFI spending rises in fiscal 2003
Progress made in key initiatives
- By: IE Staff
- November 3, 2003 November 3, 2003
- 10:15
Supreme Court dismisses appeal by Deloitte & Touche
Says OSC decision on Phillip Services was "reasonable"
- By: IE Staff
- October 31, 2003 October 31, 2003
- 13:45
QSC completes first phase of continuous disclosure review
Missing financial information causes some concern
- By: IE Staff
- October 31, 2003 October 31, 2003
- 10:40
MFDA issues warning on out of province registrations
Gives firms six months to resolve issue
- By: IE Staff
- October 30, 2003 October 30, 2003
- 15:30
SEC brings action against former FleetBoston employee
Allegations of illegal insider trading surrounding merger with Bank of America
- By: IE Staff
- October 30, 2003 October 30, 2003
- 08:40
Quebec man fined $15,000 for securities violations
Poirier facing additional charges for registered plans
- By: IE Staff
- October 29, 2003 October 29, 2003
- 10:10
QSC revokes registration of Internat
Officers receive 10-year ban
- By: IE Staff
- October 28, 2003 October 28, 2003
- 16:35
SEC cracks down on Putnam for self-dealing
Former portfolio managers facing securities fraud charges
- By: IE Staff
- October 28, 2003 October 28, 2003
- 15:10