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
Latest news in From the Regulators
Assante Financial settles with OSC regarding unregistered reps
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
Scam artists can hide behind impressive names
OSC offers tips to protect investors from fraud
- By: IE Staff
- November 17, 2003 November 17, 2003
- 12:10
MFDA enhances disclosure to clients
Ammendments on introducing, carrying dealers approved
- By: IE Staff
- November 17, 2003 November 17, 2003
- 09:10
Regulators express concern over non-GAAP disclosure
CSA worried investors may be confused or misled
- By: IE Staff
- November 17, 2003 November 17, 2003
- 08:55
OSC to appeal Donnini case
Regulator wants reduced suspension overturned
- By: IE Staff
- November 14, 2003 November 14, 2003
- 15:30
SEC, Putnam reach settlement
Governance, ethics reforms must be upgraded
- By: James Langton
- November 13, 2003 November 13, 2003
- 16:45
Still too many rules at BCSC: report
Number has increased in past two years, province says
- By: IE Staff
- November 13, 2003 November 13, 2003
- 16:35
B.C. releases reform proposals
Changes focus on increased competition, more consumer choice
- By: IE Staff
- November 13, 2003 November 13, 2003
- 16:30
MFDA issues warning to members
Some firms trading without registration
- By: IE Staff
- November 13, 2003 November 13, 2003
- 16:10
NRD brings changes to Saskatchewan registration process
New procedure for paying fees
- By: IE Staff
- November 12, 2003 November 12, 2003
- 15:35
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