Streamlining mutual fund purchasing
U.S. SIA examining use of breakpoints
- By: IE Staff
- January 13, 2003 January 13, 2003
- 17:45
Latest news in From the Regulators
Court dismisses Ontario investor’s appeal
Duty of care argument not supported in claim against Philip Services
- By: IE Staff
- January 10, 2003 January 10, 2003
- 09:20
OSC approves settlement with Laser Friendly CFO
Weltman receives permanent trading ban
- By: IE Staff
- January 8, 2003 January 8, 2003
- 17:50
U.S. state regulators endorse new Uniform Securities Act
Act reconciles state and federal laws
- By: IE Staff
- January 7, 2003 January 7, 2003
- 17:15
OSC sets new hearing date for Valentine
Alleges former Thomson Kernahgan chair breached cease trade order
- By: IE Staff
- January 7, 2003 January 7, 2003
- 14:20
BCSC reverts to former fees
Temporary fee reduction ends today
- By: IE Staff
- January 7, 2003 January 7, 2003
- 12:25
Final regs for Money Laundering Act take effect
Custom officers get new powers to fight organized crime and terrorism
- By: IE Staff
- January 6, 2003 January 6, 2003
- 16:10
Hearing into settlement with Alberta rep
Johnson hearing set for Jan. 22
- By: IE Staff
- January 6, 2003 January 6, 2003
- 14:15
Conversion to NRD beginning in March
IDA attempting to reduce outstanding applications
- By: IE Staff
- January 6, 2003 January 6, 2003
- 12:05
Revised financial statements must be made public says OSC
Wide disclosure required
- By: IE Staff
- January 6, 2003 January 6, 2003
- 11:05
IDA fines two former Scotia McLeod reps
Brokers were accused of making inappropriate recommendations, given clients' personal circumstances
- By: IE Staff
- January 3, 2003 January 3, 2003
- 12:35
FINTRAC issues warning regarding Ukraine
Exercise scrutiny when dealing with financial transactions
- By: IE Staff
- December 20, 2002 December 20, 2002
- 14:55
OSC approves settlements with sellers of Saxton securities
Cross, Holmes reprimanded
- By: IE Staff
- December 20, 2002 December 20, 2002
- 14:45
OSC publishes market participant review criteria
Measure intended to promote regulatory transparency
- By: IE Staff
- December 19, 2002 December 19, 2002
- 11:30
OSC approves settlements with Edwards, ESI
Illegal distribution of securities
- By: IE Staff
- December 17, 2002 December 17, 2002
- 00:00
OSC hearing adjourned
Warren English case moved to February
- By: IE Staff
- December 16, 2002 December 16, 2002
- 11:55
Montreal Exchange seeking permanent exemption from OSC
Temporary order expires in January
- By: IE Staff
- December 13, 2002 December 13, 2002
- 16:50
Senate committee calls for more competition in banking
Says banks should be allowed to merge
- By: IE Staff
- December 13, 2002 December 13, 2002
- 11:10
Guettler arrested
Will continue to serve sentence for securities violations
- By: IE Staff
- December 12, 2002 December 12, 2002
- 15:25
OSC reaches settlement agreements in Clansman case
Murdock and Johnson permanently prohibited from trading
- December 12, 2002 December 12, 2002
- 15:05
Court dismisses appeal against Research Capital
Guarantor of account must pay loss
- By: IE Staff
- December 11, 2002 December 11, 2002
- 17:30
Saskatchewan regulator on the move
SSC announces merger plans
- By: IE Staff
- December 10, 2002 December 10, 2002
- 17:10
Manley gives speech addressing investor confidence
Sarbanes-Oxly merits careful review
- By: IE Staff
- December 10, 2002 December 10, 2002
- 13:20
Donaldson to head SEC
Regulator's budget to double by 2004
- By: IE Staff
- December 10, 2002 December 10, 2002
- 12:45
SEC settles with Lee Industries duo
Two Boocks fined US$50,000 for misleading investors
- By: IE Staff
- December 9, 2002 December 9, 2002
- 17:20