OSC to consider settlement with Offshore Marketing Alliance
Regulator alleges firm involved in "Prime Bank" scam
- By: IE Staff
- February 10, 2003 February 10, 2003
- 14:40
Latest news in From the Regulators
Ontario plans crack down on corporate tax cheats
Province will cancel company charters
- By: IE Staff
- February 10, 2003 February 10, 2003
- 13:20
OSC modifies allegations against CIBC World Markets
Drops reference to registered advisors
- By: IE Staff
- February 7, 2003 February 7, 2003
- 16:20
Monsanto seeking appeal to Supreme Court of Canada
Distribution of pension surplus on hold says FSCO
- By: IE Staff
- February 7, 2003 February 7, 2003
- 14:45
BCSC sounds warning to safeguard personal financial data
Investors urged to review monthly statements
- By: IE Staff
- February 5, 2003 February 5, 2003
- 09:50
B.C. Supreme Court assesses damages to B.C. planners
Upholds lower court decision
- By: IE Staff
- February 4, 2003 February 4, 2003
- 17:10
OSC asked to extend order against Mark Valentine
Staff make request to remove his trading privileges
- By: IE Staff
- January 31, 2003 January 31, 2003
- 17:55
OSC finalizes reformed fee model
Expected to come into force in April
- By: James Langton
- January 31, 2003 January 31, 2003
- 17:10
Saskatchewan Financial Services Commission launches on Feb. 1
Taking over SSC powers and duties
- By: IE Staff
- January 31, 2003 January 31, 2003
- 15:50
CSA proposes new rule for securities resale
Seeks public comment by May 2
- By: IE Staff
- January 31, 2003 January 31, 2003
- 15:40
CSA propose blueprint for Uniform Securities Act
Proposal aims to streamline inter-jurisdictional registration of firms and individuals
- By: IE Staff
- January 30, 2003 January 30, 2003
- 11:45
OSC approves settlement with limited partnership salesman
Poirier receives 10 year ban
- By: IE Staff
- January 29, 2003 January 29, 2003
- 17:10
BCSC chairman calls for competition among SROs
Hyndman addresses SRO conference in Toronto
- By: James Langton
- January 29, 2003 January 29, 2003
- 11:10
Regulators reach proposed settlement with CIBC World Markets
OSC, QSC allege undisclosed conflicts of interest in Shoppers recomendations
- By: IE Staff
- January 28, 2003 January 28, 2003
- 13:30
Former auditor of Solucorp barred from appearing before SEC
A Canadian accountant has been banned from appearing before the Securities and Exchange Commission for two years. The SEC says that it has obtained a…
- By: IE Staff
- January 27, 2003 January 27, 2003
- 16:10
QSC renews freeze order against TIP Funds Canada
Hearing scheduled for February 18
- By: IE Staff
- January 27, 2003 January 27, 2003
- 15:55
CSA issue reminder on advisor compensation
Investors should know how advisors are paid
- By: IE Staff
- January 27, 2003 January 27, 2003
- 10:20
CSA working on continuous disclosure revision
Revised national instrument due by mid-2003
- By: IE Staff
- January 27, 2003 January 27, 2003
- 09:15
OSC approves amendments to CIPF
Ontario regulator in step with other provinces
- By: IE Staff
- January 27, 2003 January 27, 2003
- 09:10
OSFI releases corporate governance guideline
Boards must be effective and independent
- By: IE Staff
- January 24, 2003 January 24, 2003
- 16:50
CSA publish revised oil and gas disclosure standards
Proposal emphasizes continuous disclosure
- By: IE Staff
- January 24, 2003 January 24, 2003
- 12:50
Saskatchewan Financial Services Commission established
Single regulator legislation effective February 1
- By: IE Staff
- January 23, 2003 January 23, 2003
- 15:30
SEC adopts Sarbanes-Oxley reforms
Moves to strengthen auditor independence
- By: IE Staff
- January 22, 2003 January 22, 2003
- 16:30
Manitoba regulator issues challenge to teen investors
Launches "Test Your Financial I.Q." contest
- By: IE Staff
- January 21, 2003 January 21, 2003
- 16:55
Advisor practices trigger most complaints to regulators
CSA release list of top 5 complaints
- By: IE Staff
- January 21, 2003 January 21, 2003
- 10:45