BCSC chairman calls for competition among SROs
Hyndman addresses SRO conference in Toronto
- By: James Langton
- January 29, 2003 January 29, 2003
- 11:10
Latest news in From the Regulators
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
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
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