Combine passport model with USL
Both tools needed for reform says CSA chairman
- By: James Langton
- November 4, 2003 November 4, 2003
- 10:20
Latest news in From the Regulators
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
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