Revised financial statements must be made public says OSC
Wide disclosure required
- By: IE Staff
- January 6, 2003 January 6, 2003
- 11:05
Latest news in From the Regulators
IDA fines two former Scotia McLeod reps
Brokers were accused of making inappropriate recommendations, given clients' personal circumstances
- By: IE Staff
- January 3, 2003 January 3, 2003
- 12:35
FINTRAC issues warning regarding Ukraine
Exercise scrutiny when dealing with financial transactions
- By: IE Staff
- December 20, 2002 December 20, 2002
- 14:55
OSC approves settlements with sellers of Saxton securities
Cross, Holmes reprimanded
- By: IE Staff
- December 20, 2002 December 20, 2002
- 14:45
OSC publishes market participant review criteria
Measure intended to promote regulatory transparency
- By: IE Staff
- December 19, 2002 December 19, 2002
- 11:30
OSC approves settlements with Edwards, ESI
Illegal distribution of securities
- By: IE Staff
- December 17, 2002 December 17, 2002
- 00:00
OSC hearing adjourned
Warren English case moved to February
- By: IE Staff
- December 16, 2002 December 16, 2002
- 11:55
Montreal Exchange seeking permanent exemption from OSC
Temporary order expires in January
- By: IE Staff
- December 13, 2002 December 13, 2002
- 16:50
Senate committee calls for more competition in banking
Says banks should be allowed to merge
- By: IE Staff
- December 13, 2002 December 13, 2002
- 11:10
Guettler arrested
Will continue to serve sentence for securities violations
- By: IE Staff
- December 12, 2002 December 12, 2002
- 15:25
OSC reaches settlement agreements in Clansman case
Murdock and Johnson permanently prohibited from trading
- December 12, 2002 December 12, 2002
- 15:05
Court dismisses appeal against Research Capital
Guarantor of account must pay loss
- By: IE Staff
- December 11, 2002 December 11, 2002
- 17:30
Saskatchewan regulator on the move
SSC announces merger plans
- By: IE Staff
- December 10, 2002 December 10, 2002
- 17:10
Manley gives speech addressing investor confidence
Sarbanes-Oxly merits careful review
- By: IE Staff
- December 10, 2002 December 10, 2002
- 13:20
Donaldson to head SEC
Regulator's budget to double by 2004
- By: IE Staff
- December 10, 2002 December 10, 2002
- 12:45
SEC settles with Lee Industries duo
Two Boocks fined US$50,000 for misleading investors
- By: IE Staff
- December 9, 2002 December 9, 2002
- 17:20
Paralegal charged under Insurance Act
Ricci facing 36 criminal charges
- By: IE Staff
- December 9, 2002 December 9, 2002
- 15:25
Ontario toughens penalties for securities offences
Bill 198 receives final approval
- By: IE Staff
- December 9, 2002 December 9, 2002
- 14:30
RS requests comment on market maker exemption
Fees to other participants would increase
- By: IE Staff
- December 6, 2002 December 6, 2002
- 16:40
OSC seeks comment on TSX plan for specialty price crosses
Exchange responding to institutional demand
- By: IE Staff
- December 6, 2002 December 6, 2002
- 16:25
OSC chair reiterates call for tougher governance rules
Investor confidence a critical asset says Brown
- By: James Langton
- December 5, 2002 December 5, 2002
- 16:00
2003 National Awards in Governance Winners chosen
BC Gas private sector winner
- By: IE Staff
- December 4, 2002 December 4, 2002
- 12:15
Brokerages fined $US8.25 million for failing to keep e-mail
Joint action by SEC, NYSE, NASD
- By: IE Staff
- December 3, 2002 December 3, 2002
- 16:10
Guidance for TSX Group Inc. shareholders
IDA issues notice due to unique accounting issues
- By: IE Staff
- December 2, 2002 December 2, 2002
- 17:20
Kerbel settlement approved by OSC
Shut out for two-year period
- By: IE Staff
- December 2, 2002 December 2, 2002
- 16:30