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
Latest news in From the Regulators
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
Nova Scotia regulator eases access to records
Policy applies to new records only
- By: IE Staff
- October 27, 2003 October 27, 2003
- 11:30
CSA introduces proposed rule on income trusts
Policy aims to give investors sufficient information for decision making
- By: James Langton
- October 24, 2003 October 24, 2003
- 13:40
B.C. directors ordered to resign over undocumented loans
BCSC deals pair three-year ban
- By: IE Staff
- October 23, 2003 October 23, 2003
- 08:40
Corel founder settles illegal insider trading case
Corel Corp. founder Michael Cowpland has agreed to pay $575,000 to settle insider trading charges levelled against him four years ago by the Ontario Securities…
- By: IE Staff
- October 20, 2003 October 20, 2003
- 10:55
Regulators strengthen international cooperation to fight illegal securities activities
IOSCO memorandum of understanding deemed a success
- By: IE Staff
- October 17, 2003 October 17, 2003
- 12:40
OSC issues investment software warning
Investors told to read the fine print
- By: IE Staff
- October 15, 2003 October 15, 2003
- 13:30
SEC unveils plans to combat late trading of mutual funds
Regulator mulling over requiring funds to receive orders before pricing shares
- By: IE Staff
- October 10, 2003 October 10, 2003
- 15:10
Quebec man fined $15,000 for illegal distribution of securities
Acted as dealer without being registered
- By: IE Staff
- October 9, 2003 October 9, 2003
- 14:10
SEC proposes rules to increase proxy access by shareholders
Regulator weighs giving shareholders more power to nominate, elect directors
- By: IE Staff
- October 8, 2003 October 8, 2003
- 15:30
OSC settles with Riopelle in Saxton case
Dismisses action against Berry
- By: IE Staff
- October 6, 2003 October 6, 2003
- 15:15
FCAC reports on first full year of operations
Annual report tabled in Parliament
- By: IE Staff
- October 6, 2003 October 6, 2003
- 14:40
OSC proposes limited relief for NAV pricing of labour funds
New accounting and disclosure rules dictate exemption
- By: James Langton
- October 6, 2003 October 6, 2003
- 10:35
New York AG, SEC bring charges against hedge fund
Trader agrees to lifetime ban
- By: IE Staff
- October 2, 2003 October 2, 2003
- 15:55
CCRA offers relief to Canadians affected by Hurricane Juan
Measures include flexible payment schedules, extended due dates
- By: IE Staff
- October 2, 2003 October 2, 2003
- 15:50
Quebec woman fined for refusing to appear before regulator
Goyette failed to comply with Securities Act
- By: IE Staff
- October 2, 2003 October 2, 2003
- 09:20
SEC accuses Canadian of running boiler room
New York court orders Ontario man to pay US$2 million
- By: IE Staff
- October 1, 2003 October 1, 2003
- 15:50
OSC to consider settlement reached in Saxton matter
Alleges office administrator played role in illegal distribution of securities
- By: IE Staff
- October 1, 2003 October 1, 2003
- 08:50
Construction industry data bases stolen, CCRA says
Files do not contain information on personal income tax, agency says
- By: IE Staff
- September 30, 2003 September 30, 2003
- 15:35
SEC charges Chicago Stock Exchange
CSE failed to enforce trading rules, SEC says
- By: IE Staff
- September 30, 2003 September 30, 2003
- 14:25
Quebec commission signs agreement with Germany
Will encourage co-operation, sharing in securities issues
- By: IE Staff
- September 30, 2003 September 30, 2003
- 14:20
Quebec man disciplined for selling securities without registration
Jean-François Pelletier pleaded guilty to three charges brought against him by the Quebec Securities Commission for acting as a securities dealer without registration.Justice Carol Richer…
- By: IE Staff
- September 29, 2003 September 29, 2003
- 15:30
SEC releases hedge fund report
Regulator recommends managers be registered
- By: IE Staff
- September 29, 2003 September 29, 2003
- 10:30