OSC finds disclosure problems
Continuous Disclosure review highlights deficiencies
- By: James Langton
- September 3, 2003 September 3, 2003
- 11:10
Latest news in From the Regulators
OSC seeks comment on revised MFDA governance framework
By-law amendments reflect committee recommendations
- By: IE Staff
- September 2, 2003 September 2, 2003
- 13:25
OSC amends proficiency requirements for compliance staff
Amendments recognize practical experience
- By: IE Staff
- September 2, 2003 September 2, 2003
- 13:10
BCSC issues final sanctions in Canadian Global Investment matter
Fund salesman’s fine reduced
- By: Lara Hertel
- August 27, 2003 August 27, 2003
- 13:45
Court reverses order regarding advisor-client relationship
Advisor not in fiduciary relationship with client, Appeal Court says
- By: James Langton
- August 26, 2003 August 26, 2003
- 14:50
BCSC takes issue with OSC criticisms
Says OSC “raising false alarms” over its deregulation plans
- By: James Langton
- August 26, 2003 August 26, 2003
- 10:20
TSX blocked from buying ATS stake
TSX Group has been blocked from buying 4.85% of alternative trading system Archipelago Holdings LLC.The TSX planned to purchase the stake in Archipelago from a…
- By: IE Staff
- August 26, 2003 August 26, 2003
- 10:00
RBC Asset Management gets regulatory relief from prospectus requirement for PAPs
Conditions set for disclosure for existing funds
- By: IE Staff
- August 25, 2003 August 25, 2003
- 14:10
OSC continues to operate with essential services only
Asks for co-operation in delaying non-urgent matters
- By: IE Staff
- August 20, 2003 August 20, 2003
- 10:45
BCSC expands Web services
Companies now able to file private placement reports online
- By: IE Staff
- August 20, 2003 August 20, 2003
- 08:45
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