Latest news in From the Regulators

CSA task force to target insider trading

New group looks to plug the hole on leaked information, but must first measure its scope

By: James Langton
October 7, 2002 October 7, 2002
08:50

IFIC pleased with review appointment

Both IFIC and the IDA look to Harold MacKay to solve the puzzle of securities regulation

By: James Langton
October 4, 2002 October 4, 2002
11:15

IDA punishes broker for fudged forms

Paul Alexander Bishop order to pay $20,000 and rewrite exam

By: IE Staff
October 4, 2002 October 4, 2002
10:20

Deadline extended for ASC suggestions

Alberta regulator looking for new views on corporate accountibility

By: James Langton
October 3, 2002 October 3, 2002
16:00

Representative named to overhaul securities regulation

The man who must build a better regulatory system

By: James Langton
October 3, 2002 October 3, 2002
15:50

AGF Funds auditor granted relief

OSC clears Ip for compliance role

By: IE Staff
October 2, 2002 October 2, 2002
10:40

Regulators must act to restore investor confidence

Incoming president Bruenn addresses NASAA conference

By: IE Staff
October 1, 2002 October 1, 2002
16:10

Ottawa pledges to improve securities regulation

Throne sppech promises tougher enforcement to fight corporate crime

By: James Langton
September 30, 2002 September 30, 2002
14:40

OSC publishes industry responses on analyst conflicts

Responses posted to OSC Web site

By: IE Staff
September 27, 2002 September 27, 2002
16:35

CSA publishes new rules on investment fund continuous disclosure

Requires management reports of fund performance

By: IE Staff
September 27, 2002 September 27, 2002
15:15

New Oil & Gas Disclosure Standards to be Applied in 2004, says ASC

Proposed National Instrument still under consideration

September 27, 2002 September 27, 2002
15:05

Regulator introduces new penalty guidelines for trading violations

RS guidelines could result in $1 million fines

By: IE Staff
September 27, 2002 September 27, 2002
09:15

Saxton hearings set for October 10

OSC to consider settlements with five reps

By: IE Staff
September 26, 2002 September 26, 2002
15:10

Corporate governance a priority says Manley

Finance minister calls Canada a "northern tiger"

By: IE Staff
September 26, 2002 September 26, 2002
07:30

BC man fined $25,000 for “pump and dump” scheme

Hogan handed 10-year ban for Internet scam

By: IE Staff
September 24, 2002 September 24, 2002
10:00

OSC approves BMO Nesbitt settlement

Brokerage reprimanded, aggrees to pay $100,000

By: IE Staff
September 24, 2002 September 24, 2002
09:10

Streamlined registration system

CSA publishes explanatory notice

By: IE Staff
September 23, 2002 September 23, 2002
15:45

B.C. investment firm admits it allowed unregistered employee to provide advice

Investax Management Inc. pays $7,500 fine

By: IE Staff
September 23, 2002 September 23, 2002
08:40

Regulators propose harmonizing exemption rules

Single form for reporting exempt distributions

By: IE Staff
September 20, 2002 September 20, 2002
15:25

BC appeal court lowers fines levied against former First Marathon brokers

Court shows sympathy for impact of BCSC's Cartaway decision

By: Stewart Lewis
September 20, 2002 September 20, 2002
14:30

IFIC committee seeking help to fund appeal to Supreme Court

Court rules against tax deductions for purchase of client list

By: Stewart Lewis
September 20, 2002 September 20, 2002
09:30

OSC to review Nesbitt settlement on Monday

Alleges inadequate supervision of Lett accounts

By: IE Staff
September 19, 2002 September 19, 2002
15:15

ASC prohibits Proprietary execs from acting as directors

Workum, Hennig under temporary ban

By: IE Staff
September 19, 2002 September 19, 2002
14:10

U.S. regulatory overhaul too big to ignore says Brown

OSC head addresses IFIC conference

By: IE Staff
September 19, 2002 September 19, 2002
11:45

Ontario fund rep wins registration appeal

Elwood subject to monthly supervision

By: IE Staff
September 17, 2002 September 17, 2002
16:05