BCSC expands Web services
Companies now able to file private placement reports online
- By: IE Staff
- August 20, 2003 August 20, 2003
- 08:45
Latest news in From the Regulators
SEC charges B.C. resident with “scalping”
Files suit against former Dicom president
- By: IE Staff
- August 13, 2003 August 13, 2003
- 14:30
Investment counselors support “B.C. model” for reform
But harmonization must be part of any proposed changes, group says
- By: IE Staff
- August 12, 2003 August 12, 2003
- 16:10
Dundee settles with OSC
Failed to adequately supervise certain accounts
- By: IE Staff
- August 12, 2003 August 12, 2003
- 13:40
OSFI releases new business functions outsourcing guideline
Comment period ends Oct. 15
- By: IE Staff
- August 11, 2003 August 11, 2003
- 10:40
CSA sets out terms for joint-offeror take-over bids
Both parties may be required to sign bid circular
- By: IE Staff
- August 8, 2003 August 8, 2003
- 13:35
Straight-Through Processing deserves industry support
OSFI encourages firms to be ready
- By: IE Staff
- August 8, 2003 August 8, 2003
- 10:25
Star broker fined
Carolann Steinhoff must also rewrite conduct exam, IDA says
- By: IE Staff
- August 7, 2003 August 7, 2003
- 14:50
CIBC World Markets options trader fined
An options trader in the Hamilton office of CIBC World Markets Inc. has been fined $50,000 by the Investment Dealers Association of Canada for failing…
- By: IE Staff
- August 7, 2003 August 7, 2003
- 10:15
SEC moves to beef up disclosure requirements for directors
Proposals called important first step in improving proxy process
- By: IE Staff
- August 7, 2003 August 7, 2003
- 07:45
OSFI modifies disclosure guideline
Broadens interest rate sensitivity test
- By: IE Staff
- August 6, 2003 August 6, 2003
- 15:20
Scotia Capital broker barred for life
IDA says he failed to co-operate in an investigation
- By: IE Staff
- August 6, 2003 August 6, 2003
- 14:00
Bank fraudster sentenced to 30 years
Canadian investors among 3,200 victims, SEC says
- By: IE Staff
- August 5, 2003 August 5, 2003
- 15:05
Economic case for national regulator not made: study
CVMQ says no evidence centralized regulation will be cheaper
- By: James Langton
- August 5, 2003 August 5, 2003
- 11:15
Draft of Uniform Securities Transfer Act out for comment
Current Canadian law out of date, CSA says
- By: IE Staff
- August 1, 2003 August 1, 2003
- 15:35
B.C. court rejects broker’s plea
Says insider-trading hearing must proceed
- By: IE Staff
- July 31, 2003 July 31, 2003
- 12:55
CSA responds to Uniform Law criticism
Aim is to have draft of act by this fall
- By: IE Staff
- July 31, 2003 July 31, 2003
- 10:40
SEC approves new analyst rules
Additional steps towards promoting independence of research
- By: IE Staff
- July 30, 2003 July 30, 2003
- 14:10
TSX earnings unchanged, revenues off slightly
Decreased listings, trading revenue to blame
- By: IE Staff
- July 29, 2003 July 29, 2003
- 15:50
OSC extends ban against Valentine
Trading ban in effect until Jan. 31 at least
- By: IE Staff
- July 29, 2003 July 29, 2003
- 11:15
J.P. Morgan, Citigroup agree to fines in Enron case
SEC, New York fines exceed US$300 million
- By: IE Staff
- July 28, 2003 July 28, 2003
- 14:45
U.K. regulator to plug hole in enforcement regime
FSA to ban use of insurance to pay fines
- By: IE Staff
- July 25, 2003 July 25, 2003
- 09:40
Traders granted leave to appeal BCSC fraud decision
Penalties unduly punitive, duo argued
- By: IE Staff
- July 24, 2003 July 24, 2003
- 13:30
OSC upholds decision to deny registration to fund salesman
Dismissed salesman unable to transfer registration
- By: IE Staff
- July 22, 2003 July 22, 2003
- 09:55
Canada needs national market regulator: AIMR
Survey of members highlights need for reform
- By: IE Staff
- July 22, 2003 July 22, 2003
- 09:10