Negative confirmation a no-go
MFDA says written authorization needed in bulk account transfers
- By: IE Staff
- April 8, 2003 April 8, 2003
- 15:45
Latest news in From the Regulators
New guideline to combat money laundering
OSFI says life insurance companies now included
- By: IE Staff
- April 7, 2003 April 7, 2003
- 15:15
FSA proposes to make fund managers more accountable
Managers would have to negotiate with their customers on new costs
- By: IE Staff
- April 7, 2003 April 7, 2003
- 11:40
Expenses up, revenues down, OSC says
Commission seeking comment on priorities for year ahead
- By: IE Staff
- April 7, 2003 April 7, 2003
- 11:15
Sibold named new head of CSA
ASC chairman succeeds Hyndman
- By: IE Staff
- April 7, 2003 April 7, 2003
- 10:40
Top court upholds authority of professional bodies to discipline members
Court sets standard of 'reasonableness'
- By: James Langton
- April 3, 2003 April 3, 2003
- 14:30
Former Sprott trader fined
Settlement reached over insider-trading allegations
- By: IE Staff
- April 2, 2003 April 2, 2003
- 12:00
Stymiest attacks critics
Country far less reliant on rules than U.S., TSX group CEO says
- By: IE Staff
- April 2, 2003 April 2, 2003
- 11:45
Governance report released
MFDA issues plan to members
- By: IE Staff
- April 2, 2003 April 2, 2003
- 10:10
Streamlined OSC fee model now in effect
Fee reductions will save industry $40 million per year
- By: IE Staff
- March 31, 2003 March 31, 2003
- 17:30
Ontario report reveals OSC salaries
106 earned more than $100,000 in 2002
- By: James Langton
- March 31, 2003 March 31, 2003
- 16:20
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