NASA release third annual Top 10 scams list
New categories include "unscrupulous brokers"
- By: IE Staff
- August 26, 2002 August 26, 2002
- 17:35
Latest news in From the Regulators
ASC issues cease trading order against Proprietary Industries
Alleges insider trading, market manipulation
- By: IE Staff
- August 22, 2002 August 22, 2002
- 16:15
QSC files suit against Tremblay
CFM exec facing $1 million fine
- By: IE Staff
- August 22, 2002 August 22, 2002
- 16:00
Trade group calls for protection of civil liberties
IFBC responds to OSC review committee
- By: IE Staff
- August 22, 2002 August 22, 2002
- 15:30
OSC developing risk assessment model for compliance review
Questionnaires sent to portfolio managers
- By: IE Staff
- August 22, 2002 August 22, 2002
- 08:55
OSC approves settlement with Bonham
Three-year suspension, $200,000 penalty
- By: IE Staff
- August 20, 2002 August 20, 2002
- 16:55
OSC polls TSX, investment dealers
Regulator seeks input on recent changes to U.S. regulations
- By: James Langton
- August 20, 2002 August 20, 2002
- 15:20
Allegations against Goselin, Dyck, McCrory and Chiasson
OSC sets hearing date
- By: IE Staff
- August 19, 2002 August 19, 2002
- 10:45
OSC increases continuous disclosure reviews
More staff, higher targets, deficient companies to be named
- By: IE Staff
- August 15, 2002 August 15, 2002
- 11:00
OSFI to rate institutions on risk levels
Will roll out confidential ratings later this year
- By: IE Staff
- August 15, 2002 August 15, 2002
- 08:45
SEC files civil suit against former Canadian firm
Alleges US$15 million stock fraud regarding Environmental Solutions
- By: IE Staff
- August 12, 2002 August 12, 2002
- 16:05
OSC seeks approval on rule governing commodity pools
Regulator says pools not the same as mutual funds
- By: IE Staff
- August 12, 2002 August 12, 2002
- 10:15
CSA propose changes to electronic delivery of proxy documents
Regulators seeking comments
- By: IE Staff
- August 9, 2002 August 9, 2002
- 15:55
CSA clarifies change to auditor rule
Demise of Anderson Canada forces firms, mutual funds to appoint new auditors
- By: IE Staff
- August 9, 2002 August 9, 2002
- 14:55
OSC approves settlements with Saxton reps
Four brokers reprimanded
- By: IE Staff
- August 9, 2002 August 9, 2002
- 14:40
New Uniform Securities Act approved
Law governing regulation of securities by U.S. states modernized
- By: James Langton
- August 6, 2002 August 6, 2002
- 13:30
Compliance review of fund managers finds widespread deficiencies
Insufficient attention paid to review of performance numbers says CSA
- By: IE Staff
- August 6, 2002 August 6, 2002
- 10:55
OSC reprimands Create-a-Fund CEO
Etherington ordered to pay $7,500
- By: IE Staff
- August 1, 2002 August 1, 2002
- 16:00
OSC issues reasons for order against Valentine
Regulator feared objectionable conduct would continue
- By: IE Staff
- August 1, 2002 August 1, 2002
- 08:05
Financial Services OmbudsNetwork appoints first board
11 member board includes six independent directors
- By: IE Staff
- July 31, 2002 July 31, 2002
- 16:30
SEC Web site provides link to CEO, CFO certifications
Measure designed to boost investor confidence
- By: IE Staff
- July 30, 2002 July 30, 2002
- 15:55
Bush signs corporate responsibility bill
Fraud penalties raised to 20 years
- By: IE Staff
- July 30, 2002 July 30, 2002
- 13:39
Registration conditions imposed on rep
Precipitated by personal bankruptcy filing
- By: IE Staff
- July 29, 2002 July 29, 2002
- 15:50
NASD proposes new rules for initial allocation
Will shut down several questionable practices
- By: IE Staff
- July 29, 2002 July 29, 2002
- 14:30
B.C. company found guilty of misrepresentations while raising $1.3 million
Two directors breached duties
- By: IE Staff
- July 29, 2002 July 29, 2002
- 13:15