OSC disciplines four brokers
The accused brokers were suspended for illegal dealings of Saxton Securities. One other settlement remains outstanding
- By: IE Staff
- October 10, 2002 October 10, 2002
- 14:25
Latest news in From the Regulators
Securities’ advisor’s have three months to get educated
CSI launches new website to better prepare advisors for continuing education regulations
- By: James Langton
- October 9, 2002 October 9, 2002
- 08:35
BCSC Chair calls for stronger enforcement
Rather than adopt more U.S.-style rules, we should better enforce our own, says Hyndman
- By: James Langton
- October 9, 2002 October 9, 2002
- 08:20
IDA recommends mandatory use of broker-to-broker software
Issue to be presented at the IDA board meeting this month
- By: James Langton
- October 8, 2002 October 8, 2002
- 16:40
OSC launches new website
Flash animated characters guide advisors through ethical client relationships
- By: James Langton
- October 8, 2002 October 8, 2002
- 10:24
CMI releases paper on securities regulation
Paper calls for a joint federal-provincial committee to conduct consultation
- By: James Langton
- October 8, 2002 October 8, 2002
- 09:30
IDA makes concession on conflict-of-interest by-laws
The IDA makes concession to allow personal investment in multiple member firms
- By: James Langton
- October 7, 2002 October 7, 2002
- 17:02
MFDA offers break to sub-branch offices
Under MFDA guidelines, licensed assistants may be excluded from head count
- By: James Langton
- October 7, 2002 October 7, 2002
- 14:55
CAIFA gives show of support to MacKay
CAIFA joins IFIC in congratulating Harold MacKay on his new appointment
- By: IE Staff
- October 7, 2002 October 7, 2002
- 13:27
CSA task force to target insider trading
New group looks to plug the hole on leaked information, but must first measure its scope
- By: James Langton
- October 7, 2002 October 7, 2002
- 08:50
IFIC pleased with review appointment
Both IFIC and the IDA look to Harold MacKay to solve the puzzle of securities regulation
- By: James Langton
- October 4, 2002 October 4, 2002
- 11:15
IDA punishes broker for fudged forms
Paul Alexander Bishop order to pay $20,000 and rewrite exam
- By: IE Staff
- October 4, 2002 October 4, 2002
- 10:20
Deadline extended for ASC suggestions
Alberta regulator looking for new views on corporate accountibility
- By: James Langton
- October 3, 2002 October 3, 2002
- 16:00
Representative named to overhaul securities regulation
The man who must build a better regulatory system
- By: James Langton
- October 3, 2002 October 3, 2002
- 15:50
AGF Funds auditor granted relief
OSC clears Ip for compliance role
- By: IE Staff
- October 2, 2002 October 2, 2002
- 10:40
Regulators must act to restore investor confidence
Incoming president Bruenn addresses NASAA conference
- By: IE Staff
- October 1, 2002 October 1, 2002
- 16:10
Ottawa pledges to improve securities regulation
Throne sppech promises tougher enforcement to fight corporate crime
- By: James Langton
- September 30, 2002 September 30, 2002
- 14:40
OSC publishes industry responses on analyst conflicts
Responses posted to OSC Web site
- By: IE Staff
- September 27, 2002 September 27, 2002
- 16:35
CSA publishes new rules on investment fund continuous disclosure
Requires management reports of fund performance
- By: IE Staff
- September 27, 2002 September 27, 2002
- 15:15
New Oil & Gas Disclosure Standards to be Applied in 2004, says ASC
Proposed National Instrument still under consideration
- September 27, 2002 September 27, 2002
- 15:05
Regulator introduces new penalty guidelines for trading violations
RS guidelines could result in $1 million fines
- By: IE Staff
- September 27, 2002 September 27, 2002
- 09:15
Saxton hearings set for October 10
OSC to consider settlements with five reps
- By: IE Staff
- September 26, 2002 September 26, 2002
- 15:10
Corporate governance a priority says Manley
Finance minister calls Canada a "northern tiger"
- By: IE Staff
- September 26, 2002 September 26, 2002
- 07:30
BC man fined $25,000 for “pump and dump” scheme
Hogan handed 10-year ban for Internet scam
- By: IE Staff
- September 24, 2002 September 24, 2002
- 10:00
OSC approves BMO Nesbitt settlement
Brokerage reprimanded, aggrees to pay $100,000
- By: IE Staff
- September 24, 2002 September 24, 2002
- 09:10