B.C. model proposes streamlined, simplified securities regulation
Principles-based regulation at core of proposal
- By: IE Staff
- April 15, 2003 April 15, 2003
- 09:10
Latest news in From the Regulators
Ontario investor protection measures now in place
Maximum fines rise to $5 million
- By: IE Staff
- April 14, 2003 April 14, 2003
- 13:10
SEDI to improve access to insider trade reporting
Online reporting system adds transparency
- By: IE Staff
- April 11, 2003 April 11, 2003
- 12:40
Alberta teen wins CSA contest
Essay on investing wisely takes top prize
- By: IE Staff
- April 10, 2003 April 10, 2003
- 10:55
National regulator “politically impossible,” Sibold suggests
CSA head touts uniform securities legislation project
- By: James Langton
- April 9, 2003 April 9, 2003
- 16:30
Support for U.S. advisors’ SRO withdrawn
Securities administrators group sees improvements in regulating IAs
- By: IE Staff
- April 9, 2003 April 9, 2003
- 15:45
Negative confirmation a no-go
MFDA says written authorization needed in bulk account transfers
- By: IE Staff
- April 8, 2003 April 8, 2003
- 15:45
New guideline to combat money laundering
OSFI says life insurance companies now included
- By: IE Staff
- April 7, 2003 April 7, 2003
- 15:15
FSA proposes to make fund managers more accountable
Managers would have to negotiate with their customers on new costs
- By: IE Staff
- April 7, 2003 April 7, 2003
- 11:40
Expenses up, revenues down, OSC says
Commission seeking comment on priorities for year ahead
- By: IE Staff
- April 7, 2003 April 7, 2003
- 11:15
Sibold named new head of CSA
ASC chairman succeeds Hyndman
- By: IE Staff
- April 7, 2003 April 7, 2003
- 10:40
Top court upholds authority of professional bodies to discipline members
Court sets standard of 'reasonableness'
- By: James Langton
- April 3, 2003 April 3, 2003
- 14:30
Former Sprott trader fined
Settlement reached over insider-trading allegations
- By: IE Staff
- April 2, 2003 April 2, 2003
- 12:00
Stymiest attacks critics
Country far less reliant on rules than U.S., TSX group CEO says
- By: IE Staff
- April 2, 2003 April 2, 2003
- 11:45
Governance report released
MFDA issues plan to members
- By: IE Staff
- April 2, 2003 April 2, 2003
- 10:10
Streamlined OSC fee model now in effect
Fee reductions will save industry $40 million per year
- By: IE Staff
- March 31, 2003 March 31, 2003
- 17:30
Ontario report reveals OSC salaries
106 earned more than $100,000 in 2002
- By: James Langton
- March 31, 2003 March 31, 2003
- 16:20
ASC proposes amendments to General Rules
New $97,000 prospectus exemption
- By: IE Staff
- March 31, 2003 March 31, 2003
- 09:30
OSC seeks ban against Costello
Lawyer says client has been punished enough
- By: James Langton
- March 28, 2003 March 28, 2003
- 14:25
Gifford wins right to Supreme Court appeal
Decision will determine whether an advisor can deduct interest-expense when buying a client list
- By: Stewart Lewis
- March 27, 2003 March 27, 2003
- 16:25
Boiler room ruling upheld
B.C. court backs BCSC in shutting down brokerage
- By: IE Staff
- March 26, 2003 March 26, 2003
- 16:55
SEC sues two Vancouver residents
Alleges Nano World duo issued fraudulent press releases
- By: IE Staff
- March 24, 2003 March 24, 2003
- 17:10
Feds amend anti-money laundering rules for lawyers
Rule change acknowledges conflict with client confidentiality
- By: IE Staff
- March 24, 2003 March 24, 2003
- 15:40
Regulators working together on implementation plan for electronic audit trails
Technology committee to be established in April
- By: IE Staff
- March 24, 2003 March 24, 2003
- 11:30
OSC approves settlement with DJL Capital
Little agrees to permanent cease trade order
- By: IE Staff
- March 21, 2003 March 21, 2003
- 14:15