BCSC settles with father and son team
Prince George B.C. pair involved in more than $13 million in securities act breaches
- By: IE Staff
- June 4, 2003 June 4, 2003
- 13:40
Latest news in From the Regulators
Canadian regulatory rules will be comparable to those in U.S.
OSC’s Brown says new regime will won’t ignore changes in U.S.
- By: James Langton
- June 4, 2003 June 4, 2003
- 13:05
ASC announces partial proclamation of securities amendments
Three stages for Bill 14
- By: IE Staff
- June 3, 2003 June 3, 2003
- 09:40
OSC reprimands hedge fund “adviser”
Duthie ordered to pay $90,000
- By: IE Staff
- June 3, 2003 June 3, 2003
- 08:50
Fair Dealing Model paper due by month end
OSC pleased with response to Web site
- By: Tessa Wilmott
- June 2, 2003 June 2, 2003
- 16:25
OSC issues reasons in Lech cease trade
Commission cites evidence from forensic accountant
- By: IE Staff
- June 2, 2003 June 2, 2003
- 08:30
Quebec man pleads guilty violating securities act
Jean Dussault fined $10,000
- By: IE Staff
- May 30, 2003 May 30, 2003
- 15:55
Conflict-of-interest rule in effect in Saskatchewan
Applies to members, staff at Saskatchewan Financial Services Commission
- By: IE Staff
- May 30, 2003 May 30, 2003
- 15:40
OSFI reorganizes
Will be more streamlined, more similar to other major international regulators
- By: IE Staff
- May 30, 2003 May 30, 2003
- 15:05
Five Year Review Committee issues final report
The current structure of the Ontario Securities Commission should be “given further thought,” says the final report of the committee reviewing the Ontario Securities Act.The…
- By: James Langton
- May 30, 2003 May 30, 2003
- 11:50
Securities regulators sign co-operation agreement with China
Four provinces sign with China Securities Regulatory Commission
- By: IE Staff
- May 29, 2003 May 29, 2003
- 09:10
B.C. updates administration act
Outdated borrowing, debt-management provisions revised
- By: IE Staff
- May 28, 2003 May 28, 2003
- 16:20
SEC adopts internal control provisions of Sarbanes-Oxley
New rule goes into effect in 2004
- By: IE Staff
- May 28, 2003 May 28, 2003
- 14:20
TSX Venture Exchange rejects settlement with Global Securities
Disciplinary hearing planned
- By: IE Staff
- May 27, 2003 May 27, 2003
- 15:40
OSC approves settlement with Trafalgar
Firm agrees to redeem FFWD-98 investments
- By: IE Staff
- May 27, 2003 May 27, 2003
- 08:35
Regulators approve amendment to integrity rules
New definition of "employee" related to IDA principal/agent by-law
- By: IE Staff
- May 26, 2003 May 26, 2003
- 10:30
Ontario bill to clarify income trust liability
Right Choices Act also proposes changes to labour funds
- By: IE Staff
- May 22, 2003 May 22, 2003
- 14:45
BCSC settles with rep who sold clients unsuitable investments
Fortin fined $10,000
- By: IE Staff
- May 20, 2003 May 20, 2003
- 23:00
Regulators seek comment on harmonized auditing standards
Proposed CSA rule to apply to all issurers
- By: IE Staff
- May 16, 2003 May 16, 2003
- 16:10
OSFI withdraws outdated seg fund guideline
Guideline E-8 no longer necessary
- By: IE Staff
- May 16, 2003 May 16, 2003
- 11:15
SEC sets rules on distribution of analyst settlement funds
10 funds to be established
- By: IE Staff
- May 13, 2003 May 13, 2003
- 07:30
Good news and bad in IT security survey
Canadian financial institutions do well in adopting new technologies, but slow to adopt standards worldwide
- By: IE Staff
- May 12, 2003 May 12, 2003
- 15:20
Regulators survey industry’s Straight-Through Processing readiness
Online survey runs until end of May
- By: IE Staff
- May 12, 2003 May 12, 2003
- 10:10
OSC extends filing deadlines for National Registration Database
Data conversion problems slows transition
- By: IE Staff
- May 12, 2003 May 12, 2003
- 09:10
OSC approves amendments to MFDA ombudservice by-law
MFDA members must co-operate with ombudsman
- By: IE Staff
- May 9, 2003 May 9, 2003
- 14:50