IDA fines former Rampart rep $275,000
Permanently bars Rambhajan
- By: IE Staff
- November 12, 2002 November 12, 2002
- 14:45
Latest news in From the Regulators
BCSC settles with CEO who issued misleading news releases
Tremain fined $30,000
- By: IE Staff
- November 12, 2002 November 12, 2002
- 14:35
OSC seeking comment of conflict of interest rules
Lengthy revision process makes new comment period necessary
- By: IE Staff
- November 8, 2002 November 8, 2002
- 16:50
U.S. seizes Tri-West assets
Investors may be able to recoup lossess
- By: IE Staff
- November 7, 2002 November 7, 2002
- 16:50
OSC announces membership of Small Business Advisory Committee
First meeting scheduled for November 19
- By: IE Staff
- November 7, 2002 November 7, 2002
- 16:40
Regulator launches early warning system for compliance violations
Alerts available by subscription
- By: IE Staff
- November 7, 2002 November 7, 2002
- 11:30
CPP Investment Board receives insider exemption
Investment manager must comply with institutional investor guidelines
- By: James Langton
- November 5, 2002 November 5, 2002
- 15:50
Executive compensation disclosure needs improvement
Disclosure too general say CSA
- By: IE Staff
- November 5, 2002 November 5, 2002
- 15:20
FINTRAC tables first annual report
3,747 suspicious transactions received
- By: IE Staff
- November 5, 2002 November 5, 2002
- 12:50
CSA study finds Board discussions of executive compensation are vague
Issuers need to raise the bar, says Hyndman
- November 4, 2002 November 4, 2002
- 17:05
ASC centralizing in Calgary
Closing Edmonton office
- By: IE Staff
- November 4, 2002 November 4, 2002
- 14:10
IOSCO memorandum signed by OSC
Establishes stronger links with 170 member commissions
- By: IE Staff
- November 4, 2002 November 4, 2002
- 11:35
CSA request comment of MI 45-105
Measure would harmonize rules governing trades to employees, officers
- By: IE Staff
- November 1, 2002 November 1, 2002
- 16:55
OSC chair issues open letter to market participants
Letter details progress made on improving investor confidence
- By: IE Staff
- November 1, 2002 November 1, 2002
- 08:50
Enron failure had little impact on Canadian institutions
OSFI head addresses Senate banking committee
- By: IE Staff
- October 31, 2002 October 31, 2002
- 17:10
BCSC Chair appears before Senate Banking Committee
Hyndman outline efforts to streamline securities regulation
- By: James Langton
- October 31, 2002 October 31, 2002
- 14:30
Revamped regulatory framework within reach, says ICAC
Immediate review should be undertaken new position paper suggests
- By: IE Staff
- October 30, 2002 October 30, 2002
- 17:10
Regulation required to restore public confidence
Capital markets can run on voluntary compliance, says OSC’s Brown
- By: IE Staff
- October 30, 2002 October 30, 2002
- 16:50
Ontario announces measures to protect investor confidence
Proposed legislation would boost maximum fines to $5 million
- By: IE Staff
- October 30, 2002 October 30, 2002
- 10:55
U.K. regulator abandons plan to force brokers to dump commissions
FSA to develop "menu" approach to fees
- By: James Langton
- October 29, 2002 October 29, 2002
- 16:30
OECD praises Canada’s regulatory reforms
Study encourages further improvements
- By: IE Staff
- October 29, 2002 October 29, 2002
- 10:50
New acting chairman for Quebec Securities Commission
Godin to take QSCpost
- By: IE Staff
- October 28, 2002 October 28, 2002
- 16:05
OSC chairman reporting to Senate committee
Brown to highlight measures taken to promote capital markets
- By: IE Staff
- October 28, 2002 October 28, 2002
- 12:20
Raising investing awareness among Young Canadians
CSA sponsors Financial IQ contest
- By: IE Staff
- October 28, 2002 October 28, 2002
- 09:45