CPP Investment Board insiders exempted from filing requirements
Board not considered an institutional investor
- By: IE Staff
- September 11, 2003 September 11, 2003
- 12:25
Latest news in From the Regulators
Former B.C. rep hit with 30-year trading ban
Rast fined $200,000 for stealing from clients
- By: IE Staff
- September 9, 2003 September 9, 2003
- 09:30
OSC proposes changes to rules governing employees trading in shares of their employers
Amendments fix shortcomings
- By: IE Staff
- September 8, 2003 December 14, 2017
- 10:50
OSC clarifies liability for private placements
Underwriters not included in defendant class
- By: IE Staff
- September 8, 2003 September 8, 2003
- 09:10
OSFI releases guideline on Appointed Actuaries
Outlines responsibilities, reviews minimum qualifications
- By: IE Staff
- September 5, 2003 September 5, 2003
- 13:50
OSC schedules hearing for ATI insider trading
Chairman, six others under investigation
- By: IE Staff
- September 4, 2003 September 4, 2003
- 11:10
Canadian Securities Administrators restructure
CSA establishes permanent secretariat in Montreal
- By: IE Staff
- September 4, 2003 September 4, 2003
- 09:55
New York investigation reveals mutual fund fraud
Secret trading schemes harmed long-term investors
- By: IE Staff
- September 3, 2003 September 3, 2003
- 15:10
OSC finds disclosure problems
Continuous Disclosure review highlights deficiencies
- By: James Langton
- September 3, 2003 September 3, 2003
- 11:10
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