Home News From the Regulators Page 560

Latest news in From the Regulators

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

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

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