Bank justified in firing employee
Vancouver personal banker improperly accessed databases
- By: IE Staff
- May 8, 2003 May 8, 2003
- 09:00
Latest news in From the Regulators
Information to disciplinary bodies is privileged, court says
BC appeals court upholds right of individuals
- By: IE Staff
- May 7, 2003 May 7, 2003
- 10:10
MFDA provides guide for resigning members
Also deals with corporate reorganizations, ownership changes
- By: IE Staff
- May 7, 2003 May 7, 2003
- 09:35
CSA tells SEDI issuers to re-file profiles
Issuer profiles due by May 30
- By: IE Staff
- May 6, 2003 May 6, 2003
- 15:10
B.C. director sanctioned for failing to file insider reports
McLean ordered to pay $10,000 penalty for Markatech trades
- By: IE Staff
- May 6, 2003 May 6, 2003
- 13:30
B.C. court upholds BCSC investigation powers
Securities regulation subject to less stringent safeguards
- By: James Langton
- May 6, 2003 May 6, 2003
- 08:15
OSC issues temporary order against Peterborough investor
Alleges Lech trading without registration
- By: IE Staff
- May 2, 2003 May 2, 2003
- 09:10
OSC approves settlement with BMO manager
Mississauga employee suspended for 12 months
- By: IE Staff
- May 1, 2003 May 1, 2003
- 09:05
Costello reprimanded, ordered to pay $300,000
OSC panel says financial commentator must submit to review of practices
- By: IE Staff
- April 30, 2003 April 30, 2003
- 14:50
SEDI issuer registration reminder
Registration of outstanding securities May 5-30
- By: IE Staff
- April 30, 2003 April 30, 2003
- 13:30
Fraud quiz launched
Billions are lost to investment fraud every year, regulators say
- By: IE Staff
- April 30, 2003 April 30, 2003
- 11:50
Edward Jones rep fined, banned
Ahmed misled clients, borrowed funds
- By: IE Staff
- April 30, 2003 April 26, 2021
- 11:10
RBC DS branch manager, rep fined
Turpin fined $20,000, Salvatore $15,000
- By: IE Staff
- April 30, 2003 April 30, 2003
- 10:50
TD Waterhouse class action approved
Courts in British Columbia and Ontario have approved a national class action settlement involving TD Waterhouse Canada Inc. and millions of dollars in foreign exchange…
- By: IE Staff
- April 29, 2003 April 29, 2003
- 10:55
Issuer registration on SEDI begins May 5
All Canadian public companies must comply
- By: IE Staff
- April 28, 2003 April 28, 2003
- 15:30
Kelowna day trader banned from securities markets
Enns acted acts unregistered portfolio manager
- By: IE Staff
- April 28, 2003 April 28, 2003
- 12:20
Capital accumulation plans guidelines open for discussion
CAPs cover employee savings plans, DC pension plans among others
- By: IE Staff
- April 25, 2003 April 25, 2003
- 11:05
IDA bans, fines former TK broker
Patrick Teggart committed forgery and unauthorized trades, among other things
- By: IE Staff
- April 24, 2003 April 24, 2003
- 12:00
New financings more than triple to $21 billion
Ontario regulation reform boosts investment
- By: IE Staff
- April 21, 2003 April 21, 2003
- 11:20
MFDA extends certain transition periods
New deadlines is March 2004
- By: IE Staff
- April 17, 2003 April 17, 2003
- 15:10
FSCO seeking comment of statement of priorities
Submissions due by June 6
- By: IE Staff
- April 16, 2003 April 16, 2003
- 08:05
MFDA reaches agreement with Quebec organizations
Will cooperate on the regulation of Quebec firms
- By: IE Staff
- April 15, 2003 April 15, 2003
- 12:30
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
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