Police search Toronto brokerage firms
Joint investigation into stock market manipulation
- By: IE Staff
- June 19, 2003 June 19, 2003
- 07:25
Latest news in From the Regulators
Nova Scotia adopts principal-agent rule
Rule goes into effect in August
- By: IE Staff
- June 18, 2003 June 18, 2003
- 13:35
OSC chief renews call for “pan-Canadian” securities commission
Brown cites troubled SEDI launch
- By: IE Staff
- June 18, 2003 June 18, 2003
- 10:45
Securities regulation must harness benefits of competition
Nasdaq, Instinet send joint-letter to U.S. Congress
- By: IE Staff
- June 18, 2003 June 18, 2003
- 07:10
Alberta minister to meet with European securities regulators
Melchin to examine "passport model"
- By: IE Staff
- June 17, 2003 June 17, 2003
- 11:10
TDSI unit granted relief from prospectus requirement
OTC derivative plan meant to appeal to sophisticated investors
- By: IE Staff
- June 16, 2003 June 16, 2003
- 16:40
OSC upholds conditions on out-of-province rep
Saskatchewan rep engaged in trading in Ontario prior to being registered
- By: IE Staff
- June 16, 2003 June 16, 2003
- 16:20
OSC chair touts made-in-Canada reforms
Brown in Banff to address conference
- By: IE Staff
- June 13, 2003 June 13, 2003
- 10:10
Feds announce new measures to deter capital markets fraud
Ottawa toughens laws on insider trading
- By: IE Staff
- June 12, 2003 June 12, 2003
- 14:15
BCSC settles with Tree Brewing director
Wash admits to misleading "Wash' trades
- By: IE Staff
- June 10, 2003 June 10, 2003
- 13:40
OSC enters new five-year agreement
New MOU with finance minister effective immediately
- By: IE Staff
- June 9, 2003 June 9, 2003
- 15:50
SEDI filing requirements now in effect
Insiders, issuers must file electronically
- By: IE Staff
- June 9, 2003 June 9, 2003
- 10:50
New harmonization rule goes in to effect in August
CSA rule covers registration, prospectus requirements
- By: IE Staff
- June 6, 2003 June 6, 2003
- 15:30
OSC warns of unregistered investment schemes
Issues cease trade order against FEDI
- By: IE Staff
- June 6, 2003 June 6, 2003
- 08:15
NYSE adopts governance reforms
Special committee to make more recommendations
- By: IE Staff
- June 5, 2003 June 5, 2003
- 14:50
Supreme Court to hear Monsanto pension case
Pension fund managers representing pension plans with assets of $300 billion said today that they were ‘pleased’ that the Supreme Court of Canada had decided…
- By: IE Staff
- June 5, 2003 June 5, 2003
- 11:15
New conflict rules tough enough: IDA
Policy 11 a mix of disclosure and prohibitions, CEO says
- By: IE Staff
- June 4, 2003 June 4, 2003
- 14:40
BCSC settles with father and son team
Prince George B.C. pair involved in more than $13 million in securities act breaches
- By: IE Staff
- June 4, 2003 June 4, 2003
- 13:40
Canadian regulatory rules will be comparable to those in U.S.
OSC’s Brown says new regime will won’t ignore changes in U.S.
- By: James Langton
- June 4, 2003 June 4, 2003
- 13:05
ASC announces partial proclamation of securities amendments
Three stages for Bill 14
- By: IE Staff
- June 3, 2003 June 3, 2003
- 09:40
OSC reprimands hedge fund “adviser”
Duthie ordered to pay $90,000
- By: IE Staff
- June 3, 2003 June 3, 2003
- 08:50
Fair Dealing Model paper due by month end
OSC pleased with response to Web site
- By: Tessa Wilmott
- June 2, 2003 June 2, 2003
- 16:25
OSC issues reasons in Lech cease trade
Commission cites evidence from forensic accountant
- By: IE Staff
- June 2, 2003 June 2, 2003
- 08:30
Quebec man pleads guilty violating securities act
Jean Dussault fined $10,000
- By: IE Staff
- May 30, 2003 May 30, 2003
- 15:55
Conflict-of-interest rule in effect in Saskatchewan
Applies to members, staff at Saskatchewan Financial Services Commission
- By: IE Staff
- May 30, 2003 May 30, 2003
- 15:40