American online brokers subject of OSC hearing
Securities commissions from Manitoba, N.S. and Quebec also involved
- By: IE Staff
- June 19, 2001 June 19, 2001
- 09:20
Latest news in From the Regulators
Outgoing IDA chairman slams regulators
Menard says regulators need to keep pace with market changes
- By: James Langton
- June 18, 2001 June 18, 2001
- 13:40
IDA defends itself as regulator
But Oliver admits conflict between self-regulation and advocacy
- By: James Langton
- June 18, 2001 June 18, 2001
- 12:55
IDA board approves initiative
New reporting requirements will protect investors
- By: IE Staff
- June 18, 2001 June 18, 2001
- 10:50
Legg Mason sanctioned for violating municipal securities rules
SEC levies US$50,000 fine
- By: IE Staff
- June 13, 2001 June 13, 2001
- 07:40
Court upholds OSC decision concerning Asbestos Corp. dispute
Rejects appeal of minority shareholders
- By: James Langton
- June 12, 2001 June 12, 2001
- 08:00
OSC staffers on the move
Cowdery to oversee fund regulatory reform
- By: IE Staff
- June 6, 2001 June 6, 2001
- 16:40
Manitoba regulator moves against investment club
Tri-West hit with cease trade order
- By: James Langton
- June 6, 2001 June 6, 2001
- 10:50
ASC extends deadline for comments on TSE, CDNX deal
Written comments due by June 15
- By: IE Staff
- June 5, 2001 June 5, 2001
- 16:10
BCSC hosts day-long conference
Regulator, industry meeting to discuss market changes
- By: IE Staff
- June 5, 2001 June 5, 2001
- 15:00
Yorkton reaches settlements with TSE and CDNX
Fined $300,000 for several TSE infractions
- By: IE Staff
- June 4, 2001 June 4, 2001
- 13:05
Conference case study posted on ASC website
Attendees have until June 21 to submit results
- By: IE Staff
- June 4, 2001 June 4, 2001
- 08:35
Brokerage exec denied re-hearing by OSC panel
Ordered to pay IDA's costs
- By: James Langton
- May 31, 2001 May 31, 2001
- 16:10
BCSC cracks down on late filers
51 companies hit with cease trade orders
- By: IE Staff
- May 30, 2001 May 30, 2001
- 11:40
Former fund rep ordered to appear before BCSC
Faces allegations of promoting risky investments to unsophisticated investors
- By: IE Staff
- May 28, 2001 May 28, 2001
- 09:18
OSC finalizes new approach to cease trade orders
Aim is to limit sudden loss of liquidity
- By: IE Staff
- May 23, 2001 May 23, 2001
- 14:40
CSA adopt ambitious three-year plan
Strategic plan outlines five major challenges
- By: James Langton
- May 23, 2001 May 23, 2001
- 13:55
SEC sues former Sunbeam CEO, officers
Alleges massive accounting fraud
- By: James Langton
- May 15, 2001 May 15, 2001
- 16:10
FSCO set to launch new Internet Application System
Will provide quick renewal of agent licences
- By: IE Staff
- May 11, 2001 May 11, 2001
- 14:50
New rule to boost investor knowledge
Securities regulators uinveil National Instrument 33-102
- By: IE Staff
- May 11, 2001 May 11, 2001
- 13:35
SEC targets Mexican company in insider trading scandal
Illegal profits totalled US$3.7 million
- By: James Langton
- May 8, 2001 May 8, 2001
- 15:45
Pitt pegged to head SEC
Former commission lawyer said to be Bush favourite
- By: IE Staff
- May 7, 2001 May 7, 2001
- 16:00
BCSC cracks down on late filers
Will impose cease trade orders without warning
- By: IE Staff
- May 7, 2001 May 7, 2001
- 08:20
CSA adds finishing touch to rule on rights offerings
Rule clarifies use of prospectus exemptions
- By: James Langton
- May 2, 2001 May 2, 2001
- 14:30