Going after white-collar crime
Feds put $30 million into new investigation units
- By: James Langton
- February 18, 2003 February 18, 2003
- 16:30
Latest news in From the Regulators
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
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