MFDA proposals released for comment
Amendment clarifies suitability of orders
- By: James Langton
- July 14, 2003 July 14, 2003
- 11:40
Latest news in From the Regulators
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
OSC levies $1.2 million in penalties in YBM Magnex case
Officers permanently barred
- By: James Langton
- July 2, 2003 July 2, 2003
- 09:45
Coordinated national approach a priority: FSCO
Promoting a coordinated national approach to regulatory issues is among the priorities for the coming year set out today by the Financial Services Commission of…
- By: James Langton
- July 2, 2003 July 2, 2003
- 06:30
New B.C. corporations act out for comment
Consultation period ends Sept. 12
- July 2, 2003 July 2, 2003
- 05:35
U.S. shareholders get power to approve compensation packages
SEC says NYSE and Nasdaq have adopted new rules
- By: IE Staff
- June 30, 2003 June 30, 2003
- 15:20
Georgeson granted registration relief
But must register as a limited market dealer in six months in some provinces
- By: IE Staff
- June 30, 2003 June 30, 2003
- 11:25
“Made-in-Canada” rules aimed at reassuring investors
The Ontario Securities Commission has unveiled three proposed rules it says are the latest efforts to reassure investors in the wake of U.S. financial reporting…
- By: IE Staff
- June 27, 2003 June 27, 2003
- 14:00
Regulatory regime must be streamlined: Manley
System must be internationally competitive
- By: James Langton
- June 26, 2003 June 26, 2003
- 13:30
U.K. compliance costs rise with single regulator
One-time costs expected to drop away says FSA head
- By: IE Staff
- June 26, 2003 June 26, 2003
- 08:50
U.S. dealers question Basel Committee proposal
Tie capital requirements more closely to risks, says SIA
- By: IE Staff
- June 26, 2003 June 26, 2003
- 08:20
OSC appoints three new commissioners
Bates, Thakrar, Wigle
- By: IE Staff
- June 25, 2003 June 25, 2003
- 16:25
NASD clamps down on unsuitable DSC fund sales
Issues investor alert on Class B shares
- By: IE Staff
- June 25, 2003 June 25, 2003
- 15:10
Regulatory trio decries B.C.’s go-it-alone approach
CSA must work together, panel tells IDA
- By: James Langton
- June 24, 2003 June 24, 2003
- 13:20
IDA chief calls for special securities law courts
Oliver makes pitch in letters to provincial justice ministers
- By: IE Staff
- June 23, 2003 June 23, 2003
- 16:05
ASC approves new oil and gas disclosure standards
NI 51-101 designed to build investor confidence
- By: IE Staff
- June 23, 2003 June 23, 2003
- 13:30
Securities regulators issue revised disclosure rule
Changes include new "venture issuer" category
- By: IE Staff
- June 20, 2003 June 20, 2003
- 09:30
Senate committee releases governance report
Recommendations include independent audit committees
- By: James Langton
- June 19, 2003 June 19, 2003
- 16:50
Canadian regulation costly: U.K. report
France, Germany spend less
- By: James Langton
- June 19, 2003 June 19, 2003
- 10:30