TSX Venture Exchange fines B.C. trader
Smith must pay $7,500 penalty
- By: IE Staff
- October 25, 2002 October 25, 2002
- 16:20
Latest news in From the Regulators
Manley rethinking bank merger review process
Finance minister asks parliamentary committees for input
- By: IE Staff
- October 24, 2002 October 24, 2002
- 16:10
Bevilacqua urges made-in-Canada solution for corporate governance
Secretary of State addresses Senate committee
- By: IE Staff
- October 24, 2002 October 24, 2002
- 15:35
Quebec advisor ordered to pay $1 million fine
Tremblay pleads guilty to distributing shares without a prospectus
- By: IE Staff
- October 24, 2002 October 24, 2002
- 12:35
Golden Securities wins judgment in unlawful trading suit
Trading scheme masterminded by trader under 20-year ban
- By: IE Staff
- October 23, 2002 October 23, 2002
- 16:40
Livent co-founders charged with fraud
Drabinsky, Gotlieb freed on bail
- By: IE Staff
- October 23, 2002 October 23, 2002
- 07:50
Criminal charges laid against Toronto-based telemarketers
Credit card scam dupes 100,000 Americans
- By: IE Staff
- October 22, 2002 October 22, 2002
- 14:20
Edward Carl Blasiak reprimanded by OSC
Settlement agreement approved
- By: IE Staff
- October 17, 2002 October 17, 2002
- 16:20
Encouraging cooperation
BCSC issues Credit for Assistance policy
- By: IE Staff
- October 17, 2002 October 17, 2002
- 08:40
IDA sets hearing date to consider sanctions
The association will convene on Nov. 1 to consider penalties for a broker who did not co-operate with an investigation
- By: IE Staff
- October 16, 2002 October 16, 2002
- 15:20
OSC approves settlement with Foundation Equity Corp.
Foundation ordered to pay $2000 after unlawfully selling 1.2 million shares of Global Thermoelectric
- By: IE Staff
- October 16, 2002 October 16, 2002
- 10:55
IDA approves constitution amendments
Law firm hired to review and clarify the association's mandate
- By: James Langton
- October 16, 2002 October 16, 2002
- 10:45
TSX CEO calls for one voice on securities regulation
Barbara Stymiest, in Winnipeg today, spoke to the Canadian Club on the topic of last week's CMI white paper
- By: IE Staff
- October 15, 2002 October 15, 2002
- 15:00
SEC settles with well-read trader
Trader alleged to have had postal worker read him Thursday's copy of <i>BusinessWeek</i> before it hit newstands
- By: James Langton
- October 11, 2002 October 11, 2002
- 16:00
Launch of NRD delayed, again
Launch is now scheduled for March 31, 2003
- By: IE Staff
- October 11, 2002 October 11, 2002
- 15:10
IDA calls for “more robust” enforcement powers
The association welcomes Ecker's proposed investor protection legislation, but also wants court authority
- By: IE Staff
- October 10, 2002 October 10, 2002
- 16:00
OSC disciplines four brokers
The accused brokers were suspended for illegal dealings of Saxton Securities. One other settlement remains outstanding
- By: IE Staff
- October 10, 2002 October 10, 2002
- 14:25
Securities’ advisor’s have three months to get educated
CSI launches new website to better prepare advisors for continuing education regulations
- By: James Langton
- October 9, 2002 October 9, 2002
- 08:35
BCSC Chair calls for stronger enforcement
Rather than adopt more U.S.-style rules, we should better enforce our own, says Hyndman
- By: James Langton
- October 9, 2002 October 9, 2002
- 08:20
IDA recommends mandatory use of broker-to-broker software
Issue to be presented at the IDA board meeting this month
- By: James Langton
- October 8, 2002 October 8, 2002
- 16:40
OSC launches new website
Flash animated characters guide advisors through ethical client relationships
- By: James Langton
- October 8, 2002 October 8, 2002
- 10:24
CMI releases paper on securities regulation
Paper calls for a joint federal-provincial committee to conduct consultation
- By: James Langton
- October 8, 2002 October 8, 2002
- 09:30
IDA makes concession on conflict-of-interest by-laws
The IDA makes concession to allow personal investment in multiple member firms
- By: James Langton
- October 7, 2002 October 7, 2002
- 17:02
MFDA offers break to sub-branch offices
Under MFDA guidelines, licensed assistants may be excluded from head count
- By: James Langton
- October 7, 2002 October 7, 2002
- 14:55
CAIFA gives show of support to MacKay
CAIFA joins IFIC in congratulating Harold MacKay on his new appointment
- By: IE Staff
- October 7, 2002 October 7, 2002
- 13:27