ASC publishes corporate governance survey
Results reflect desire for regime which is less strict than the U.S.
- By: IE Staff
- December 2, 2002 December 2, 2002
- 16:05
Latest news in From the Regulators
MFDA investor protection plans under scrutiny
OSC asks for industry comment
- By: IE Staff
- December 2, 2002 December 2, 2002
- 10:35
Housekeeping amendments to Ontario securities legislation given Royal Assent
Changes improve regulatory efficiency, promote harmonization
- By: IE Staff
- November 29, 2002 November 29, 2002
- 15:40
OSC imposes 12 year trading ban on insurance agent
Says Chiasson conduct was "greatly troubling"
- By: IE Staff
- November 28, 2002 November 28, 2002
- 13:30
B.C. court clears bank in botched RSP transfer
Brokerage loses appeal
- By: IE Staff
- November 26, 2002 November 26, 2002
- 17:15
BCSC penalizes fund dealers
Reps banned for selling "highly risky" securities to conservative clients
- By: IE Staff
- November 26, 2002 November 26, 2002
- 09:45
SEC acts on Regulation FD
Has already settled one of its early enforcement cases
- By: IE Staff
- November 25, 2002 November 25, 2002
- 17:15
Ontario government holds up on pension reform for partial wind-ups
Consulting on next move
- By: IE Staff
- November 25, 2002 November 25, 2002
- 16:50
FSCO wins court appeal regarding partial wind up of pension plans
Employers must distribute part of surplus
- By: IE Staff
- November 22, 2002 November 22, 2002
- 17:15
Supreme Court rules on overlapping audits and criminal investigations
Cases sent back for new trials
- By: IE Staff
- November 22, 2002 November 22, 2002
- 11:05
Anti-money laundering and terrorist financing regulations announced
Regulations take effect January 6
- By: IE Staff
- November 21, 2002 November 21, 2002
- 15:50
OSC denies registration for fund salesman
Says serious questions regarding past record remain outstanding
- By: IE Staff
- November 21, 2002 November 21, 2002
- 14:35
OSC settles with Goselin and Dyck
Pair disciplined for North George, Lionaird distributions
- By: IE Staff
- November 19, 2002 November 19, 2002
- 16:40
OSC Chair applauds MacKay report
Recommendations timely says Brown
- By: IE Staff
- November 19, 2002 November 19, 2002
- 15:44
OSC orders Lydia Diamond officers to pay $225,000 in costs
Prohibits von Anhalts from acting as officers for 15 years
- By: IE Staff
- November 19, 2002 November 19, 2002
- 13:05
MacKay recommends committee to review regulatory regime
Report an excellent starting point says Manley
- By: James Langton
- November 19, 2002 November 19, 2002
- 12:45
Dodge tackles corporate governance in speech
Concedes that larger firms should face stricter requirements than others
- By: James Langton
- November 18, 2002 November 18, 2002
- 16:15
FSA to implement new regulations in the UK
New requirements should provide more clarity to potential investors
- By: James Langton
- November 18, 2002 November 18, 2002
- 16:05
OSC to consider settlement for Irvine Dyck
Commission expected to reach agreement on matter of Lionaird Capital Corp. and Dual Capital distributions
- By: IE Staff
- November 18, 2002 November 18, 2002
- 11:45
OSC adjourns hearing into North George, Lionaird distributions
Commission reaches settlement with McCrory
- By: IE Staff
- November 15, 2002 November 15, 2002
- 17:25
National Registration Database one step closer
Guidelines established for submitting information
- By: James Langton
- November 15, 2002 November 15, 2002
- 17:00
OECD launches drive to strengthen corporate governance
Principles of corporate governance up for review
- By: IE Staff
- November 15, 2002 November 15, 2002
- 09:20
OSFI assistant superintendent defends Basel Capital Accord
Complexity an attempt to deal with increasingly sophisticated products
- By: IE Staff
- November 13, 2002 November 13, 2002
- 14:15
OSC powers should be curbed
Securities lawyer argues for less government intervention
- By: James Langton
- November 13, 2002 November 13, 2002
- 11:35