Latest news in From the Regulators

CIBC World Markets options trader fined

  • By: IE Staff
  • August 7, 2003 August 7, 2003
  • 10:15

SEC moves to beef up disclosure requirements for directors

  • By: IE Staff
  • August 7, 2003 August 7, 2003
  • 07:45

OSFI modifies disclosure guideline

  • By: IE Staff
  • August 6, 2003 August 6, 2003
  • 15:20

Scotia Capital broker barred for life

  • By: IE Staff
  • August 6, 2003 August 6, 2003
  • 14:00

Bank fraudster sentenced to 30 years

  • By: IE Staff
  • August 5, 2003 August 5, 2003
  • 15:05

Economic case for national regulator not made: study

Draft of Uniform Securities Transfer Act out for comment

  • By: IE Staff
  • August 1, 2003 August 1, 2003
  • 15:35

B.C. court rejects broker’s plea

  • By: IE Staff
  • July 31, 2003 July 31, 2003
  • 12:55

CSA responds to Uniform Law criticism

  • By: IE Staff
  • July 31, 2003 July 31, 2003
  • 10:40

SEC approves new analyst rules

  • By: IE Staff
  • July 30, 2003 July 30, 2003
  • 14:10

TSX earnings unchanged, revenues off slightly

  • By: IE Staff
  • July 29, 2003 July 29, 2003
  • 15:50

OSC extends ban against Valentine

  • By: IE Staff
  • July 29, 2003 July 29, 2003
  • 11:15

J.P. Morgan, Citigroup agree to fines in Enron case

  • By: IE Staff
  • July 28, 2003 July 28, 2003
  • 14:45

U.K. regulator to plug hole in enforcement regime

  • By: IE Staff
  • July 25, 2003 July 25, 2003
  • 09:40

Traders granted leave to appeal BCSC fraud decision

  • By: IE Staff
  • July 24, 2003 July 24, 2003
  • 13:30

OSC upholds decision to deny registration to fund salesman

  • By: IE Staff
  • July 22, 2003 July 22, 2003
  • 09:55

Canada needs national market regulator: AIMR

  • By: IE Staff
  • July 22, 2003 July 22, 2003
  • 09:10

OSC settles with former Saxton controller

  • By: IE Staff
  • July 22, 2003 July 22, 2003
  • 08:20

BCSC chair touts “passport” model in WPC submission

Results of STP readiness survey to be released this autumn

  • By: IE Staff
  • July 21, 2003 July 21, 2003
  • 14:10

Provinces opt for “passport” system of regulation

  • By: IE Staff
  • July 21, 2003 July 21, 2003
  • 06:40

Supreme Court appeal sought in lawsuit against Thomson Kernaghan

Give shareholders more power over directors

  • By: IE Staff
  • July 16, 2003 July 16, 2003
  • 15:30

Wise Persons’ Committee launches Web site

OSFI revises exposure guidelines for insurers

  • By: IE Staff
  • July 14, 2003 July 14, 2003
  • 15:50