CSA seek comments on National Registration Database
NRD expected to launch in November
- By: IE Staff
- June 14, 2002 June 14, 2002
- 15:45
Latest news in From the Regulators
OSC earns right to review Deloitte papers
Actions not "unreasonable", court says
- By: James Langton
- June 14, 2002 June 14, 2002
- 14:05
OSC commences proceeding against Phoenix Research
Inadequate supervision of unregistered portfolio manager
- By: IE Staff
- June 13, 2002 June 13, 2002
- 16:10
Former head trader at Yorkton contravened securities laws
OSC sets date for sanction hearing
- By: IE Staff
- June 11, 2002 June 11, 2002
- 17:45
NASD approves new divisional structure
Reorganization reflects sole focus on market regulation
- By: IE Staff
- June 7, 2002 June 7, 2002
- 11:20
IDA extends notification deadline for Ontario reps
Reps given 10 days to notify IDA of civil proceedings
- By: IE Staff
- June 7, 2002 June 7, 2002
- 11:10
Regulatory overhaul in Quebec hampering MFDA
Association awaiting passage of Bill 107
- By: James Langton
- June 7, 2002 June 7, 2002
- 09:30
SEC’s position on securities fraud supported by U.S. Supreme Court
Case against broker will go ahead
- June 4, 2002 June 4, 2002
- 15:55
Report recommends overhaul of Ontario securities rules
Calls for OSC to speed up rulemaking
- By: IE Staff
- May 30, 2002 May 30, 2002
- 08:10
Committee releases draft report on securities laws in Ontario
Report calls for national securities regulator
- By: IE Staff
- May 29, 2002 May 29, 2002
- 09:55
BCSC Capital Ideas conference to open in June
Conference to focus on innovations in regulation
- By: IE Staff
- May 27, 2002 May 27, 2002
- 06:40
Supreme Court sets out new test for business deductions
Overrules improper use of reasonable expectation of profit test
- By: Stewart Lewis
- May 23, 2002 May 23, 2002
- 16:45
Saskatchewan mutual fund rep registered
Regulator schedules hearing to consider McLeod cease trading order
- By: James Langton
- May 23, 2002 May 23, 2002
- 16:20
Ontario CAs strengthen disciplinary system
Reforms broaden reach of ICAO rules
- By: IE Staff
- May 23, 2002 May 23, 2002
- 09:30
OSC unveils new Securities Advisory Committee members
New members to start in June and October
- By: IE Staff
- May 21, 2002 May 21, 2002
- 16:25
Martin says innovative financing key to shaping economic future
Finance minister calls for more uniform approach to regulation
- By: IE Staff
- May 21, 2002 May 21, 2002
- 15:45
BCSC bans former mutual funds salesman
Foster agrees to 12-year ban from markets
- By: IE Staff
- May 15, 2002 May 15, 2002
- 10:30
CSA to review disclosure of executive compensation
Report on 75 companies due later this year
- By: IE Staff
- May 15, 2002 May 15, 2002
- 09:20
No need for national securities commission says Sibold
ASC chairman stands firm on two-tier regulatory framework
- By: James Langton
- May 14, 2002 May 14, 2002
- 09:25
New SEC rules don’t go far enough says AIMR president
Increased public scrutiny provides opportunity for increased reform
- By: IE Staff
- May 13, 2002 May 13, 2002
- 13:10
QSC to examine bill creating super regulator
The Quebec Securities Commission says it wants to study the which proposes the creation of a super regulator in Quebec.Bill 107, which would create the…
- By: IE Staff
- May 9, 2002 May 9, 2002
- 17:05
AcSOC examines standards in the wake of Enron
Council warned not to be complacent
- By: IE Staff
- May 9, 2002 May 9, 2002
- 10:15
SEC mandates EDGAR filing for foreign issuers
Rule goes into effect November 4
- By: IE Staff
- May 8, 2002 May 8, 2002
- 16:05
ASC publishes operating agreement for Capital Pool Company program
Effective June 15
- By: IE Staff
- May 6, 2002 May 6, 2002
- 15:30
Synchronize your clocks
New market rules will require use of national time signal
- By: IE Staff
- May 6, 2002 May 6, 2002
- 15:25