BCSC fines four dealers
Settlement to pay for electronic cease-trade system
- By: IE Staff
- February 7, 2002 February 7, 2002
- 12:10
Latest news in From the Regulators
B.C. lawyers exempt from anti-money laundering rules
Court rejects federal appeal
- By: IE Staff
- February 6, 2002 February 6, 2002
- 16:55
BCSC slams fund dealer for peddling high-risk investments to widows and the elderly
Says Canadian Global violated suitability rule
- By: IE Staff
- February 1, 2002 February 1, 2002
- 16:55
BCSC and Better Business Bureau team up to fight fraud
Two seminars scheduled for February
- By: IE Staff
- February 1, 2002 February 1, 2002
- 14:40
Insider reporting system shut down due to technical problems
SEDI shut down effective immediately
- By: IE Staff
- February 1, 2002 February 1, 2002
- 12:00
Proprietary Industries denies ASC allegations
Commission alleges firm misrepresented financial statements
- By: IE Staff
- February 1, 2002 February 1, 2002
- 10:00
Regulators sound alarm on affinity scams
Frauds a growing area of concern
- By: IE Staff
- January 29, 2002 January 29, 2002
- 12:05
Risks of Internet advice
Regulators warning investors against quick fixes during RRSP season
- By: IE Staff
- January 28, 2002 January 28, 2002
- 09:45
ASC seeks comment on oil and gas disclosure standards
NI proposal in response to Oil and Gas Taskforce
- By: IE Staff
- January 25, 2002 January 25, 2002
- 17:25
SEC welcomes new commisioners
Bids adieu to former inter-chair Unger
- By: IE Staff
- January 24, 2002 January 24, 2002
- 10:45
OSC promotes investor education during Financial Forum
Director Switzer to headline seminar
- By: IE Staff
- January 23, 2002 January 23, 2002
- 15:25
BCSC moves against delinquent insider report filers
Imposes cease trade order on mining company president and former spouse
- By: IE Staff
- January 23, 2002 January 23, 2002
- 15:25
Decision in Yorkton case released
Confidence in capital markets was undermined says OSC panel
- By: IE Staff
- January 21, 2002 January 21, 2002
- 12:15
CSA develops guide for investor complaints
Urges investors to be proactive in relationship with advisors
- By: IE Staff
- January 21, 2002 January 21, 2002
- 10:05
ASC sanctions former fund salesperson
Lamoureux fined $20,000
- By: IE Staff
- January 18, 2002 January 18, 2002
- 14:25
SEC proposes SRO for to oversee accounting profession
Proposal stems from collapse of Enron
- By: IE Staff
- January 18, 2002 January 18, 2002
- 09:40
Losses mount from
Volatile marks make scams more appealing to investors
- By: James Langton
- January 17, 2002 January 17, 2002
- 17:45
Canadian Securities Administrators launch national Web site
Investors gain access to regulators with new CSA venture
- By: IE Staff
- January 15, 2002 January 15, 2002
- 16:05
Clarifying financial reporting
CSA releases guidance on GAAP
- By: IE Staff
- January 14, 2002 January 14, 2002
- 14:10
Enron documents destroyed, auditor reveals
Andersen employees destroy significant number of documents
- By: James Langton
- January 10, 2002 January 10, 2002
- 17:15
OSC commences proceedings against Costello
Says author not registered to recommend investments
- By: IE Staff
- January 10, 2002 January 10, 2002
- 12:15
NASD moves to streamline account transfers
New rule prohibits interference from firms
- By: James Langton
- January 2, 2002 January 2, 2002
- 15:45
SEC beefs up disclosure requirements for stock options
New rules effective in second half of 2002
- By: IE Staff
- January 2, 2002 January 2, 2002
- 12:34
U.S. regulators pledge to modernize futures trading
SEC, CFTC to work work together
- By: IE Staff
- January 2, 2002 January 2, 2002
- 12:25
New guidance proposed for MD&A disclosure
Seven principles suggested by the CICA
- By: Ryan Jennings
- December 17, 2001 December 17, 2001
- 10:40