OSC issues reasons for Lydia Diamond decision
Says officers misled commission
- By: IE Staff
- March 20, 2003 March 20, 2003
- 14:30
Latest news in From the Regulators
B.C. court denies Gill appeal
Upholds BCSC decision regarding "evidence of indebtedness"
- By: James Langton
- March 20, 2003 March 20, 2003
- 13:30
War fears could be exploited by con artists, regulators warn
Beware of high-pressure sales pitches
- By: IE Staff
- March 19, 2003 March 19, 2003
- 09:45
SIA worried about proposed analyst rule
Ambiguities will make compliance difficult
- By: IE Staff
- March 18, 2003 March 18, 2003
- 16:25
OSC to consider settlement with DJL Capital
Alleges illegal distribution of securities
- By: IE Staff
- March 18, 2003 March 18, 2003
- 16:10
OSC drops enforcement proceeding against Rampart
Move follows IDA sanctions
- By: IE Staff
- March 17, 2003 March 17, 2003
- 12:20
New OSC fee model effective March 31
Regulator responds to implementation concerns
- By: IE Staff
- March 17, 2003 March 17, 2003
- 11:25
Allow lawyers to disclose serious fraudulent conduct by clients: CMI comment
Capital Markets Institute issues second policy comment on Sarbannes-Oxley
- By: IE Staff
- March 13, 2003 March 13, 2003
- 12:20
OSC commences proceeding against Toronto lawyer
Alleges Tibollo participated in distribution of Saxton securities
- By: IE Staff
- March 12, 2003 March 12, 2003
- 11:10
No discount on many fund transactions, says U.S. report
Regulators say most failures to apply sales load waiver unintentional
- By: IE Staff
- March 11, 2003 March 11, 2003
- 16:40
BCSC bans Burns Lake directors from securities markets
Anderson, Montaldi fined $200,000 for fraud
- By: IE Staff
- March 11, 2003 March 11, 2003
- 10:20
MFDA hires new enforcement chief
Devlin to start in April
- By: James Langton
- March 10, 2003 March 10, 2003
- 13:40
IDA pushes for elimination of capital taxes
Also wants Ontario to give it more enforcement power
- By: IE Staff
- March 7, 2003 March 7, 2003
- 17:05
Supreme court sets six-year limit on tax collection proceedings
Taxpayer escapes $770,583 in unpaid taxes
- By: Stewart Lewis
- March 7, 2003 March 7, 2003
- 15:00
Credit Suisse First Boston tech chief charged
Part of wider probe into U.S. investment banking activities
- By: James Langton
- March 6, 2003 March 6, 2003
- 17:45
U.S. regulators warn of oil scams
Make sure promoters are licensed
- By: IE Staff
- March 6, 2003 March 6, 2003
- 17:25
Alberta’s Bill 14 gets first reading
Goal is uniform securities act
- By: IE Staff
- March 6, 2003 March 6, 2003
- 17:10
Mutual recognition best, FSA chief says
Howard Davies says key is identifying standards to be harmonized
- By: James Langton
- March 6, 2003 March 6, 2003
- 13:45
CSA to review company MD&A
Regulators to contact companies
- By: IE Staff
- March 5, 2003 March 5, 2003
- 11:55
Ottawa appoints members to Wise Persons’ Committee
Phelps to head group in examining securities reform
- By: IE Staff
- March 4, 2003 March 4, 2003
- 15:10
BCSC simplifies filing of exemption applications
New Web-based system will save time and money
- By: IE Staff
- March 4, 2003 March 4, 2003
- 14:10
OSC to roll out continuous disclosure review of investment funds
Outlines general features of new program
- By: IE Staff
- March 3, 2003 March 3, 2003
- 11:40
Regulators seek to broaden insider reporting
Propose disclosure of transactions involving derivatives
- By: IE Staff
- February 28, 2003 February 28, 2003
- 14:35
RS launches national database
Goal is to protect investors from unintentional violations of cease trade orders
- By: James Langton
- February 27, 2003 February 27, 2003
- 10:15
OSC amends statement of allegations in Saxton case
Hearing scheduled for March 5
- By: IE Staff
- February 26, 2003 February 26, 2003
- 10:40