CSA responds to Uniform Law criticism
Aim is to have draft of act by this fall
- By: IE Staff
- July 31, 2003 July 31, 2003
- 10:40
Latest news in From the Regulators
SEC approves new analyst rules
Additional steps towards promoting independence of research
- By: IE Staff
- July 30, 2003 July 30, 2003
- 14:10
TSX earnings unchanged, revenues off slightly
Decreased listings, trading revenue to blame
- By: IE Staff
- July 29, 2003 July 29, 2003
- 15:50
OSC extends ban against Valentine
Trading ban in effect until Jan. 31 at least
- By: IE Staff
- July 29, 2003 July 29, 2003
- 11:15
J.P. Morgan, Citigroup agree to fines in Enron case
SEC, New York fines exceed US$300 million
- By: IE Staff
- July 28, 2003 July 28, 2003
- 14:45
U.K. regulator to plug hole in enforcement regime
FSA to ban use of insurance to pay fines
- By: IE Staff
- July 25, 2003 July 25, 2003
- 09:40
Traders granted leave to appeal BCSC fraud decision
Penalties unduly punitive, duo argued
- By: IE Staff
- July 24, 2003 July 24, 2003
- 13:30
OSC upholds decision to deny registration to fund salesman
Dismissed salesman unable to transfer registration
- By: IE Staff
- July 22, 2003 July 22, 2003
- 09:55
Canada needs national market regulator: AIMR
Survey of members highlights need for reform
- By: IE Staff
- July 22, 2003 July 22, 2003
- 09:10
OSC settles with former Saxton controller
Davies reprimanded for inflated account statements
- By: IE Staff
- July 22, 2003 July 22, 2003
- 08:20
BCSC chair touts “passport” model in WPC submission
Proposed system will work today says Hyndman
- By: James Langton
- July 21, 2003 July 21, 2003
- 15:50
Results of STP readiness survey to be released this autumn
732 firms participate in CSA poll
- By: IE Staff
- July 21, 2003 July 21, 2003
- 14:10
Provinces opt for “passport” system of regulation
Ministers reject national securities commission
- By: IE Staff
- July 21, 2003 July 21, 2003
- 06:40
Supreme Court appeal sought in lawsuit against Thomson Kernaghan
Aggrieved parties seeking right to sue the IDA
- By: Stewart Lewis
- July 18, 2003 July 18, 2003
- 13:05
Give shareholders more power over directors
Better disclosure a good start says SEC
- By: IE Staff
- July 16, 2003 July 16, 2003
- 15:30
Wise Persons’ Committee launches Web site
Submissions now publicly available
- By: James Langton
- July 14, 2003 July 14, 2003
- 16:30
OSFI revises exposure guidelines for insurers
Addresses issue of mutual fund exposures
- By: IE Staff
- July 14, 2003 July 14, 2003
- 15:50
MFDA proposals released for comment
Amendment clarifies suitability of orders
- By: James Langton
- July 14, 2003 July 14, 2003
- 11:40
Ontario government moves on securities regulatory reform
Province supports nation securities regulation
- By: IE Staff
- July 14, 2003 July 14, 2003
- 09:10
Review of portfolio managers finds compliance deficiencies
OSC team identifies common failings
- By: IE Staff
- July 14, 2003 July 14, 2003
- 08:50
OSC touts “pan-Canadian” commission to Wise Persons’ Committee
Fractured regulatory system fosters fragmentation says Brown
- By: James Langton
- July 10, 2003 July 10, 2003
- 13:10
OSFI updates Tier 1 guidelines
Clarifies regulatory approach
- By: IE Staff
- July 10, 2003 July 10, 2003
- 12:45
OSC comments on BCSC proposed regulatory model
Model undermines progess to harmonization says Brown
- By: James Langton
- July 9, 2003 July 9, 2003
- 09:20
Royal Bank granted insider exemptions
VPs must satisfy "nominal officer criteria"
- By: IE Staff
- July 7, 2003 July 7, 2003
- 09:45
Sprott trader fined $15,000
Shambleau suspended for role in RT Capital high-closing scandal
- By: James Langton
- July 4, 2003 July 4, 2003
- 09:50