Ontario court dismisses OSC appeal for new Bre-X trial
Lawyer's conduct did not undermine fair trial
- By: James Langton
- December 10, 2003 December 10, 2003
- 15:55
Latest news in From the Regulators
NASD fines analyst for overstated research reports
Censures brokerage firms for issuing misleading research reports
- By: IE Staff
- December 10, 2003 December 10, 2003
- 10:10
MFDA governance by-laws approved
Public directors must not be affiliated with IFIC, IDA
- By: IE Staff
- December 5, 2003 December 5, 2003
- 15:20
SEC charges Texas firm in mutual fund scheme
Defendants deceived fund companies, shareholders
- By: IE Staff
- December 4, 2003 December 4, 2003
- 16:35
Quebec man fined $42,000 for securities violations
Poirier sold securities without registration
- By: IE Staff
- December 4, 2003 December 4, 2003
- 15:55
London mediation office to be set up
Will allow British, European residents to resolve disputes without traveling to U.S.
- By: IE Staff
- December 3, 2003 December 3, 2003
- 16:10
SEC takes aim at late trading, market timing in fund sector
New rules aimed at eliminating potential for late trading
- By: IE Staff
- December 3, 2003 December 3, 2003
- 16:00
CIRI, CSA disclosure guides endorsed by insider task force
CIRI “pleased” to be recognized as authority on disclosure best practices
- By: IE Staff
- December 3, 2003 December 3, 2003
- 14:00
SROs set for new privacy legislation
List standards for collection of personal information
- By: IE Staff
- December 3, 2003 December 3, 2003
- 11:30
NASD forms investor education foundation
Survey finds many people not up on investment basics
- By: IE Staff
- December 2, 2003 December 2, 2003
- 17:40
NASD proposes compliance rule changes
The U.S.-based National Association of Securities Dealers has filed a proposed rule amendment with the Securities and Exchange Commission that would require the CEO and…
- December 2, 2003 December 2, 2003
- 17:00
Comment sought on Alberta pension plan proposals
Changes aimed at strengthening risk management, disclosure and accountability
- By: IE Staff
- December 1, 2003 December 1, 2003
- 17:00
Insider trading comment sought
The Canadian Securities Administrators is seeking comment on the commendations it received from the illegal insider trading task force back in mid-November.The report, Illegal Insider…
- By: IE Staff
- December 1, 2003 December 1, 2003
- 15:50
IDA granted client relief
The Investment Dealers Association has won relief for its members from a yearend deadline for obtaining new directions regarding shareholder communication from clients currently deemed…
- By: IE Staff
- December 1, 2003 December 1, 2003
- 15:35
Integrated Market Enforcement Teams target capital markets fraud
Nine teams to cover Canada
- By: James Langton
- November 28, 2003 November 28, 2003
- 13:30
CSA implements new rule to ensure derivative disclosure
Broadens scope of insider reporting requirements
- By: IE Staff
- November 28, 2003 November 28, 2003
- 09:50
CAIF backs CSA income trust proposal
Says proposal will encourage growth
- By: IE Staff
- November 27, 2003 November 27, 2003
- 16:10
SEC lays fraud charge against Arizona firm
Former execs also charged in fund late trading and market timing schemes
- By: IE Staff
- November 26, 2003 November 26, 2003
- 09:20
Proposed B.C. Model offers investors greater protection: report
Stronger foundation for effective compliance and enforcement
- By: James Langton
- November 25, 2003 November 25, 2003
- 14:10
Wise Person’s Committee expects to deliver report in mid-December
Publishes papers on regulatory reform in US, EU and Australia
- By: IE Staff
- November 25, 2003 November 25, 2003
- 09:30
Assante Financial settles with OSC regarding unregistered reps
Agrees to review out-of-province trading
- By: IE Staff
- November 24, 2003 November 24, 2003
- 16:35
SEC adopts disclosure rules on director nominations
New rules enhance transparency
- By: IE Staff
- November 21, 2003 November 21, 2003
- 10:20
B.C. mining company fails to meet disclosure standards
Alhambra fined $20,000
- By: IE Staff
- November 19, 2003 November 19, 2003
- 09:50
Morgan Stanley pays US$50 million to SEC
Inadequate disclosure in mutual fund sales
- By: IE Staff
- November 17, 2003 November 17, 2003
- 15:30