Paralegal charged under Insurance Act
Ricci facing 36 criminal charges
- By: IE Staff
- December 9, 2002 December 9, 2002
- 15:25
Latest news in From the Regulators
Ontario toughens penalties for securities offences
Bill 198 receives final approval
- By: IE Staff
- December 9, 2002 December 9, 2002
- 14:30
RS requests comment on market maker exemption
Fees to other participants would increase
- By: IE Staff
- December 6, 2002 December 6, 2002
- 16:40
OSC seeks comment on TSX plan for specialty price crosses
Exchange responding to institutional demand
- By: IE Staff
- December 6, 2002 December 6, 2002
- 16:25
OSC chair reiterates call for tougher governance rules
Investor confidence a critical asset says Brown
- By: James Langton
- December 5, 2002 December 5, 2002
- 16:00
2003 National Awards in Governance Winners chosen
BC Gas private sector winner
- By: IE Staff
- December 4, 2002 December 4, 2002
- 12:15
Brokerages fined $US8.25 million for failing to keep e-mail
Joint action by SEC, NYSE, NASD
- By: IE Staff
- December 3, 2002 December 3, 2002
- 16:10
Guidance for TSX Group Inc. shareholders
IDA issues notice due to unique accounting issues
- By: IE Staff
- December 2, 2002 December 2, 2002
- 17:20
Kerbel settlement approved by OSC
Shut out for two-year period
- By: IE Staff
- December 2, 2002 December 2, 2002
- 16:30
ASC publishes corporate governance survey
Results reflect desire for regime which is less strict than the U.S.
- By: IE Staff
- December 2, 2002 December 2, 2002
- 16:05
MFDA investor protection plans under scrutiny
OSC asks for industry comment
- By: IE Staff
- December 2, 2002 December 2, 2002
- 10:35
Housekeeping amendments to Ontario securities legislation given Royal Assent
Changes improve regulatory efficiency, promote harmonization
- By: IE Staff
- November 29, 2002 November 29, 2002
- 15:40
OSC imposes 12 year trading ban on insurance agent
Says Chiasson conduct was "greatly troubling"
- By: IE Staff
- November 28, 2002 November 28, 2002
- 13:30
B.C. court clears bank in botched RSP transfer
Brokerage loses appeal
- By: IE Staff
- November 26, 2002 November 26, 2002
- 17:15
BCSC penalizes fund dealers
Reps banned for selling "highly risky" securities to conservative clients
- By: IE Staff
- November 26, 2002 November 26, 2002
- 09:45
SEC acts on Regulation FD
Has already settled one of its early enforcement cases
- By: IE Staff
- November 25, 2002 November 25, 2002
- 17:15
Ontario government holds up on pension reform for partial wind-ups
Consulting on next move
- By: IE Staff
- November 25, 2002 November 25, 2002
- 16:50
FSCO wins court appeal regarding partial wind up of pension plans
Employers must distribute part of surplus
- By: IE Staff
- November 22, 2002 November 22, 2002
- 17:15
Supreme Court rules on overlapping audits and criminal investigations
Cases sent back for new trials
- By: IE Staff
- November 22, 2002 November 22, 2002
- 11:05
Anti-money laundering and terrorist financing regulations announced
Regulations take effect January 6
- By: IE Staff
- November 21, 2002 November 21, 2002
- 15:50
OSC denies registration for fund salesman
Says serious questions regarding past record remain outstanding
- By: IE Staff
- November 21, 2002 November 21, 2002
- 14:35
OSC settles with Goselin and Dyck
Pair disciplined for North George, Lionaird distributions
- By: IE Staff
- November 19, 2002 November 19, 2002
- 16:40
OSC Chair applauds MacKay report
Recommendations timely says Brown
- By: IE Staff
- November 19, 2002 November 19, 2002
- 15:44
OSC orders Lydia Diamond officers to pay $225,000 in costs
Prohibits von Anhalts from acting as officers for 15 years
- By: IE Staff
- November 19, 2002 November 19, 2002
- 13:05