BCSC sanctions accountant for delay in filing insider reports
Orr fined $3,000 for procrastinating
- By: IE Staff
- November 27, 2001 November 27, 2001
- 11:05
Latest news in From the Regulators
Regulatory burden could trigger consolidation in U.K. securities industry
Costs soar under Financial Services Authority regime
- By: IE Staff
- November 27, 2001 November 27, 2001
- 10:25
OSC head calls for single regulator
Sentiment echoed by BCSC
- By: Ryan Jennings
- November 26, 2001 November 26, 2001
- 17:30
ASC bans Hansen for five years
Second breach of securities law
- By: IE Staff
- November 22, 2001 November 22, 2001
- 16:25
Anti-money laundering regime under attack
B.C. lawyers granted temporary exemption
- By: James Langton
- November 20, 2001 November 20, 2001
- 18:10
SEC hires new director of corporate finance
Beller to oversee reforms to corporate disclosure
- By: IE Staff
- November 20, 2001 November 20, 2001
- 09:55
Pension regulation reform in the works
OSFI seeking comments
- By: IE Staff
- November 19, 2001 November 19, 2001
- 16:45
Saskatchewan considering financial regulator merger
Seeks comments by Dec. 21
- By: IE Staff
- November 19, 2001 November 19, 2001
- 09:31
MFDA amends limited trading authorization rule
Publishes new form and guidleines
- By: IE Staff
- November 19, 2001 November 19, 2001
- 09:25
Investors have no financial recourse against regulators
Buck stops with errant professional rules the Supreme Court
- By: Stewart Lewis
- November 16, 2001 November 16, 2001
- 16:20
OSC adjourns Arlington Securities hearing
Hearing to reconvene in February
- By: IE Staff
- November 16, 2001 November 16, 2001
- 14:05
B.C. couple fined $60,000 for selling exempt market securities
Friesens not properly registered
- By: IE Staff
- November 16, 2001 November 16, 2001
- 09:55
CSA increases annual SEDAR filing fees
Increase covers cost of SEDI implementation
- By: IE Staff
- November 14, 2001 November 14, 2001
- 18:40
Saskatchewan considering single regulator
One commission to replace three regulatory bodies
- By: IE Staff
- November 14, 2001 November 14, 2001
- 18:35
Alberta man placed under house arrest for securities violations
Hills convicted of illegally selling shares
- By: IE Staff
- November 14, 2001 November 14, 2001
- 18:05
OSC Continuous Disclosure Team reaches first anniversary
Issues report on the year's activities
- By: James Langton
- November 14, 2001 November 14, 2001
- 15:00
SEC cracks down on hedge fund manager
Regulator alleges investment fraud
- By: James Langton
- November 13, 2001 November 13, 2001
- 15:55
OSC quiz educates investors about investment fraud
"Spot the Bull or Bear the Consequences"
- By: IE Staff
- November 13, 2001 November 13, 2001
- 09:40
FINTRAC sets up shop
Centre will spearhead anti-money laundering efforts
- By: IE Staff
- November 8, 2001 November 8, 2001
- 17:25
BCSC slaps fund salesman with five-year ban
Killough defrauded client
- By: IE Staff
- November 8, 2001 November 8, 2001
- 15:55
U.S. government updates terrorist financing list
List includes Canadian firm, individual
- By: IE Staff
- November 7, 2001 November 7, 2001
- 17:05
Law Society launches campaign to publicize money laundering law
Lawyers required to report suspicious transactions
- By: IE Staff
- November 7, 2001 November 7, 2001
- 14:45
OSC to improve monitoring of fund managers
Establishes risk-based approach to compliance
- By: IE Staff
- November 7, 2001 November 7, 2001
- 11:20
OSC establishes Internet list of defaulting issuers
New list to be updated weekly
- By: IE Staff
- November 6, 2001 November 6, 2001
- 11:30
G-20 finance ministers to meet in Ottawa
Group will discuss role in the fight against terrorism
- By: IE Staff
- November 6, 2001 November 6, 2001
- 09:00