Alberta’s Bill 14 gets first reading
Goal is uniform securities act
- By: IE Staff
- March 6, 2003 March 6, 2003
- 17:10
Latest news in From the Regulators
Mutual recognition best, FSA chief says
Howard Davies says key is identifying standards to be harmonized
- By: James Langton
- March 6, 2003 March 6, 2003
- 13:45
CSA to review company MD&A
Regulators to contact companies
- By: IE Staff
- March 5, 2003 March 5, 2003
- 11:55
Ottawa appoints members to Wise Persons’ Committee
Phelps to head group in examining securities reform
- By: IE Staff
- March 4, 2003 March 4, 2003
- 15:10
BCSC simplifies filing of exemption applications
New Web-based system will save time and money
- By: IE Staff
- March 4, 2003 March 4, 2003
- 14:10
OSC to roll out continuous disclosure review of investment funds
Outlines general features of new program
- By: IE Staff
- March 3, 2003 March 3, 2003
- 11:40
Regulators seek to broaden insider reporting
Propose disclosure of transactions involving derivatives
- By: IE Staff
- February 28, 2003 February 28, 2003
- 14:35
RS launches national database
Goal is to protect investors from unintentional violations of cease trade orders
- By: James Langton
- February 27, 2003 February 27, 2003
- 10:15
OSC amends statement of allegations in Saxton case
Hearing scheduled for March 5
- By: IE Staff
- February 26, 2003 February 26, 2003
- 10:40
SEC files suit against Canadian firm
Alleges World Transport misled investors
- By: IE Staff
- February 24, 2003 February 24, 2003
- 17:25
QSC renews freeze against Tip Funds Canada
Hearing to continue on March 17
- By: IE Staff
- February 24, 2003 February 24, 2003
- 17:10
Minor rule changes for SEDI
Re-launch date yet to be announced
- By: IE Staff
- February 21, 2003 February 21, 2003
- 16:30
Court upholds OSC’s Shambleau ruling
Standard of disclosure "entirely consistent"
- By: IE Staff
- February 21, 2003 February 21, 2003
- 16:10
ASC sanctions Equal Rights CEO
Del Bianco participation called a "potential threat to investors"
- By: IE Staff
- February 20, 2003 February 20, 2003
- 14:30
ASC posts third-quarter loss
Drop in investment income leads to fall off in revenue
- By: IE Staff
- February 19, 2003 February 19, 2003
- 16:40
OSC finds Costello contravened Securities Act
Cites failure to disclose "many conflicts of interest"
- By: IE Staff
- February 19, 2003 February 19, 2003
- 09:40
Feds still committed to national securities reform
Corporate governance is also on the agenda
- By: James Langton
- February 18, 2003 February 18, 2003
- 16:40
Going after white-collar crime
Feds put $30 million into new investigation units
- By: James Langton
- February 18, 2003 February 18, 2003
- 16:30
OSC approves settlement with Offshore Marketing Alliance
English receives reprimand, 10 year ban
- By: IE Staff
- February 17, 2003 February 17, 2003
- 15:05
OSC extends cease trade order against Valentine
Commission cites breach of previous order
- By: IE Staff
- February 17, 2003 February 17, 2003
- 11:10
U.S. Senate approves Donaldson to head SEC
Incoming chairman must work to rebuild agency morale
- By: IE Staff
- February 14, 2003 February 14, 2003
- 17:10
CSA adopt amendments to NP 11-201
Amendments clarify electronic delivery of proxy documents
- By: IE Staff
- February 13, 2003 February 13, 2003
- 16:20
Donaldson one step closer to approval as SEC chairman
Senate confirmation voted expected soon
- By: IE Staff
- February 12, 2003 February 12, 2003
- 16:30
NSSC approves rule for underwriting conflicts
Rule 33-105 to take effect May 1
- By: IE Staff
- February 12, 2003 February 12, 2003
- 16:25
U.K. regulator moves to strengthen analyst research guidelines
FSA clarifies standards for investment research and new securities issues
- By: IE Staff
- February 12, 2003 February 12, 2003
- 12:20