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
Latest news in From the Regulators
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
OSC chair endorses international standards for analysts
IOSCO principles address conflicts of interest
- By: IE Staff
- September 26, 2003 September 26, 2003
- 15:40
Oil and gas disclosure standards move closer to final approval
Nova Scotia latest to sign off
- By: IE Staff
- September 26, 2003 September 26, 2003
- 13:10
Funds solicited in illegal investment scheme sent to receiver
Shuttleworth accounts allegedly used by Lech
- By: IE Staff
- September 26, 2003 September 26, 2003
- 09:10
Charges laid following destruction of audit papers
Former E&Y partner pleads guilty to violations of Sarbanes-Oxley
- By: IE Staff
- September 26, 2003 September 26, 2003
- 07:50
SEC amends fund advertising rules
Proposes new rules for fund of funds investments
- By: IE Staff
- September 25, 2003 September 25, 2003
- 16:10
Study questions savings from proposed OSC governance rules
Costs could well exceed benefits says BCSC
- By: James Langton
- September 25, 2003 September 25, 2003
- 09:30
CFSB traders alleged to have improperly traded BCE stock
Hearing set for December
- By: IE Staff
- September 24, 2003 September 24, 2003
- 13:50
U.K. regulator focussing on consumer education
Smarter consumers could bring less regulation
- By: IE Staff
- September 24, 2003 September 24, 2003
- 10:45
Public warned of investment scams
BCSC launches investor education series
- By: IE Staff
- September 23, 2003 September 23, 2003
- 13:15
OSFI responds to criticism over Voyageur pension windup
No evidence of fraud says Le Pan
- By: IE Staff
- September 22, 2003 September 22, 2003
- 15:20
OSC amends rule regarding securities fees
Amendments meant to give clarity
- By: IE Staff
- September 22, 2003 September 22, 2003
- 09:10
OSC continues cease trade order against FEDI respondents
Investment scheme under investigation
- By: IE Staff
- September 18, 2003 September 18, 2003
- 15:30
QSC fines reps for illegal distribution of OPTEC Fund securities
Chevrier agrees to $20,000 penalty
- By: James Langton
- September 17, 2003 September 17, 2003
- 16:40
Uniform securities laws not necessary says BCSC chair
Fate of passport model lies with ministers
- By: Kate McCaffery
- September 17, 2003 September 17, 2003
- 14:20
Buy side speaks out on corporate governance
New coalition issues series of guidelines
- By: Kate McCaffery
- September 16, 2003 September 16, 2003
- 14:55
U.S. broker charged with unlawful trading of funds
Sihpol executed trades for Canary Capital hedge fund
- By: IE Staff
- September 16, 2003 September 16, 2003
- 13:20
B.C. advisor settles over breach of “Know your client” rule
Former Raymond James rep fined $18,000
- By: IE Staff
- September 16, 2003 September 16, 2003
- 10:10
Onus partly on consumers, FSA says
British regulator explains its thinking behind allowing financial firms to fail
- By: IE Staff
- September 15, 2003 September 15, 2003
- 15:40
SEC, NASAA push for improved communication
Working group to look at better ways to enforce activities against market players
- By: IE Staff
- September 15, 2003 September 15, 2003
- 15:30
Pension plans urged to file valuation reports on time: OSFI
Late filers may face regulatory action
- By: IE Staff
- September 12, 2003 September 12, 2003
- 10:10