Streamlined registration system
CSA publishes explanatory notice
- By: IE Staff
- September 23, 2002 September 23, 2002
- 15:45
Latest news in From the Regulators
B.C. investment firm admits it allowed unregistered employee to provide advice
Investax Management Inc. pays $7,500 fine
- By: IE Staff
- September 23, 2002 September 23, 2002
- 08:40
Regulators propose harmonizing exemption rules
Single form for reporting exempt distributions
- By: IE Staff
- September 20, 2002 September 20, 2002
- 15:25
BC appeal court lowers fines levied against former First Marathon brokers
Court shows sympathy for impact of BCSC's Cartaway decision
- By: Stewart Lewis
- September 20, 2002 September 20, 2002
- 14:30
IFIC committee seeking help to fund appeal to Supreme Court
Court rules against tax deductions for purchase of client list
- By: Stewart Lewis
- September 20, 2002 September 20, 2002
- 09:30
OSC to review Nesbitt settlement on Monday
Alleges inadequate supervision of Lett accounts
- By: IE Staff
- September 19, 2002 September 19, 2002
- 15:15
ASC prohibits Proprietary execs from acting as directors
Workum, Hennig under temporary ban
- By: IE Staff
- September 19, 2002 September 19, 2002
- 14:10
U.S. regulatory overhaul too big to ignore says Brown
OSC head addresses IFIC conference
- By: IE Staff
- September 19, 2002 September 19, 2002
- 11:45
Ontario fund rep wins registration appeal
Elwood subject to monthly supervision
- By: IE Staff
- September 17, 2002 September 17, 2002
- 16:05
OSC launches investor guide
New guide aims to help investors understand their rights
- By: IE Staff
- September 17, 2002 September 17, 2002
- 10:55
Canaccord rep fined by discipline panel
Contravened ASE rules
- By: IE Staff
- September 16, 2002 September 16, 2002
- 16:15
NRD site launching this month, says NSSC
Testing has begun
- By: IE Staff
- September 16, 2002 September 16, 2002
- 16:05
New appointments for financial services tribunal
Bharmal and Litner will sit for three-year terms
- By: IE Staff
- September 16, 2002 September 16, 2002
- 15:00
BCSC settles with outside director from Pacific International Securities
Carrière admits he was aware firm's compliance deficiencies
- By: IE Staff
- September 16, 2002 September 16, 2002
- 13:35
ASC issues TSX exemption order
Sets out terms for continued recognition of TSX Venture Exchange
- By: IE Staff
- September 13, 2002 September 13, 2002
- 15:30
QSC gives cautious support for Quebec super-regulator
Strong regulator needed to rebuild investor trust says Crepin
- By: James Langton
- September 12, 2002 September 12, 2002
- 17:25
Yorkton trader receives 15-year suspension for insider trading
OSC panel suspends Donnini
- By: IE Staff
- September 12, 2002 September 12, 2002
- 14:50
Securities regulation needs to be more transparent
U.S. regulator calls for international standards
- By: IE Staff
- September 10, 2002 September 10, 2002
- 16:50
B.C. seminars teach investor awareness
Protection against investment frauds and scams
- By: IE Staff
- September 10, 2002 September 10, 2002
- 14:10
Motion to add IDA executives as defendents in Kernaghan case postponed
Judge cites conflict of interest and removes himself from the case
- By: James Langton
- September 9, 2002 September 9, 2002
- 11:30
OSC commences proceedings against Edwards
Securities Clansman 98 shares sold without prospectus
- By: IE Staff
- September 6, 2002 September 6, 2002
- 15:20
New study calls on OSC to improve its own governance
Regulator should lead by example says Fraser Institute
- By: IE Staff
- September 5, 2002 September 5, 2002
- 08:40
OSC chairman issues open letter to market participants
Brown calls for balanced response to U.S. regulatory changes
- By: IE Staff
- September 3, 2002 September 3, 2002
- 14:10
Quest Capital hit with cease-trade order
Allegations of trading without registration
- By: IE Staff
- August 30, 2002 August 30, 2002
- 15:00
Single financial services ombudsman office established
Michael Lauber takes new post
- By: IE Staff
- August 27, 2002 August 27, 2002
- 09:45