BC to review regulation of financial services
Review of securities rules extended to entire financial sector
- By: James Langton
- March 13, 2002 March 13, 2002
- 17:20
Latest news in From the Regulators
OSC study identifies deficiencies in quarterly reporting
17 companies required to refile interim statements
- By: IE Staff
- March 13, 2002 March 13, 2002
- 11:55
Investors warned of possible fraud Involving religious affiliations
Alberta regulator issues warning
- By: IE Staff
- March 12, 2002 March 12, 2002
- 15:45
MFDA releases membership directory
Fledgling SRO has 45 members
- By: IE Staff
- March 12, 2002 March 12, 2002
- 15:35
Symposium participants examine securities reform in Canada
Possible reform models considered
- By: James Langton
- March 11, 2002 March 11, 2002
- 08:40
CSA outlines harmonization plan
Project aims to create uniform securities act
- By: James Langton
- March 11, 2002 March 11, 2002
- 08:35
SEC granted restraining order against Web site
Alleges Ghost International Web site defrauded investors
- By: IE Staff
- March 8, 2002 March 8, 2002
- 11:00
ASC incurs small quarterly loss
Expenses climb alongside revenues
- By: IE Staff
- March 7, 2002 March 7, 2002
- 16:15
BCSC launches cross-Canada forums
Seeking feedback to new deregulation concepts
- By: IE Staff
- March 6, 2002 March 6, 2002
- 16:30
OSC, Carswell announce publishing relationship
Carswell to takeover OSC Bulletin
- By: IE Staff
- March 5, 2002 March 5, 2002
- 10:30
New market regulator assumes duties
Market Regulation Services Inc. takes over from TSE RS
- By: James Langton
- March 1, 2002 March 1, 2002
- 11:15
CSA propose new framework for regulation of mutual funds
Governance agency to oversee fund managers
- By: IE Staff
- February 28, 2002 February 28, 2002
- 12:45
Canadian accounts used for Bahamanian wash sales
SEC wins judgement
- By: IE Staff
- February 27, 2002 February 27, 2002
- 16:45
Pension fund CEO calls for accounting watchdog
Significant reforms necessary
- By: IE Staff
- February 27, 2002 February 27, 2002
- 12:30
U.S. regulator issues warning about viatical investments
Cites instances of fraud
- By: IE Staff
- February 26, 2002 February 26, 2002
- 16:55
Manitoba regulator issues investor alert
Scheme involves conversion of locked-in pensions into bogus loans
- By: IE Staff
- February 26, 2002 February 26, 2002
- 09:45
OSC publishes reasons for rejecting Cowpland settlement
Says new settlement should have "real consequences"
- By: IE Staff
- February 20, 2002 February 20, 2002
- 17:05
OSC approves Emerson settlement
The Ontario Securities Commission today approved a settlement agreement reached with Robert Emerson.The agreement follows an enforcement action initiated on February 11, 2002 in which…
- By: IE Staff
- February 19, 2002 February 19, 2002
- 17:35
TSE president urges Quebec’s participation in regulatory dialogue
Stymiest addresses Montreal Board of Trade
- By: IE Staff
- February 19, 2002 February 19, 2002
- 14:30
RS Inc. approved by ASC
Rules for ATS regulation also get the nod
- By: IE Staff
- February 18, 2002 February 18, 2002
- 15:50
No more prospectuses
BCSC proposing continuous market access system
- By: IE Staff
- February 18, 2002 February 18, 2002
- 09:25
U.S. accounting chairman supports auditing reform
Castellano calls for modernized financial reporting model
- By: IE Staff
- February 14, 2002 February 14, 2002
- 17:00
SEC proposes changes to disclosure rules
Will accelerate reporting of transactions by insiders
- By: IE Staff
- February 13, 2002 February 13, 2002
- 16:25
OSC panel rejects Cowpland settlement
Matter may proceed to full hearing
- By: IE Staff
- February 13, 2002 February 13, 2002
- 08:50
B.C. man agrees to five-year trading ban
Keating misled markets with wash trades
- By: IE Staff
- February 8, 2002 February 8, 2002
- 11:25