Ontario report reveals OSC salaries
106 earned more than $100,000 in 2002
- By: James Langton
- March 31, 2003 March 31, 2003
- 16:20
Latest news in From the Regulators
ASC proposes amendments to General Rules
New $97,000 prospectus exemption
- By: IE Staff
- March 31, 2003 March 31, 2003
- 09:30
OSC seeks ban against Costello
Lawyer says client has been punished enough
- By: James Langton
- March 28, 2003 March 28, 2003
- 14:25
Gifford wins right to Supreme Court appeal
Decision will determine whether an advisor can deduct interest-expense when buying a client list
- By: Stewart Lewis
- March 27, 2003 March 27, 2003
- 16:25
Boiler room ruling upheld
B.C. court backs BCSC in shutting down brokerage
- By: IE Staff
- March 26, 2003 March 26, 2003
- 16:55
SEC sues two Vancouver residents
Alleges Nano World duo issued fraudulent press releases
- By: IE Staff
- March 24, 2003 March 24, 2003
- 17:10
Feds amend anti-money laundering rules for lawyers
Rule change acknowledges conflict with client confidentiality
- By: IE Staff
- March 24, 2003 March 24, 2003
- 15:40
Regulators working together on implementation plan for electronic audit trails
Technology committee to be established in April
- By: IE Staff
- March 24, 2003 March 24, 2003
- 11:30
OSC approves settlement with DJL Capital
Little agrees to permanent cease trade order
- By: IE Staff
- March 21, 2003 March 21, 2003
- 14:15
OSC issues reasons for Lydia Diamond decision
Says officers misled commission
- By: IE Staff
- March 20, 2003 March 20, 2003
- 14:30
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