Bank’s telemarketing reps immune from B.C. provincial regulation, says BCCA
Court raises doctrine of inter-jurisdictional immunity
- By: IE Staff
- January 20, 2003 January 20, 2003
- 17:55
Latest news in From the Regulators
FSA pushing for greater transparency
New disclosure rules in the offing
- By: IE Staff
- January 20, 2003 January 20, 2003
- 13:15
TSX seeks comment on market making reforms
Comments due February 10
- By: IE Staff
- January 17, 2003 January 17, 2003
- 16:05
Saskatchewan seeks comment on capital raising exemptions
Several provisions unique to the province
- By: IE Staff
- January 17, 2003 January 17, 2003
- 15:55
U.S. regulators tackle fund sales loads
SEC chair calls for industry-wide committee
- By: IE Staff
- January 16, 2003 January 16, 2003
- 16:50
OSC commences proceedings against ATI Technologies
Alleges insider trading
- By: IE Staff
- January 16, 2003 January 16, 2003
- 14:20
MFDA looking for new head of enforcement
McManus resigns
- By: James Langton
- January 15, 2003 January 15, 2003
- 15:40
Founder of Tri-West Investment Club fined US$120,000
SEC wins civil action against Waage
- By: IE Staff
- January 14, 2003 January 14, 2003
- 17:40
Streamlining mutual fund purchasing
U.S. SIA examining use of breakpoints
- By: IE Staff
- January 13, 2003 January 13, 2003
- 17:45
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