Martineau report recommends single regulator for Quebec
Financial sector stakeholders tagged for funding
- By: James Langton
- December 14, 2001 December 14, 2001
- 14:15
Latest news in From the Regulators
Start-up of new insider reporting system delayed
SEDI launch shifted to Jan. 21, 2002
- By: IE Staff
- December 14, 2001 December 14, 2001
- 09:30
SEC issues reminder on annual reports
Says investors deserve and demand full transparency
- By: IE Staff
- December 12, 2001 December 12, 2001
- 17:55
Regulators win motion to preserve turf
Viatical sales company on hold
- By: Stewart Lewis
- December 12, 2001 December 12, 2001
- 17:20
Regulators encroaching on fixed-income markets
Evidence of bureaucratic empire-building, report says
- By: James Langton
- December 12, 2001 December 12, 2001
- 11:35
SEC alleges manipulation of bio-terrorism stock
Spectrum Brands subject of complaint
- By: James Langton
- December 11, 2001 December 11, 2001
- 17:05
OSC announces a series of technical amendments
The Ontario Securities Commission today announced a number of technical amendments to provincial securities legislation.The changes to the Securities Act and the Commodity Futures Act…
- By: IE Staff
- December 11, 2001 December 11, 2001
- 16:20
OSC sends finance minister proposed amendment
Transactions will have to comply with CDNX
- By: IE Staff
- December 7, 2001 December 7, 2001
- 16:15
Goldman Sachs trader wins appeal
Sachs on the hook for bigger damages package
- By: James Langton
- December 7, 2001 December 7, 2001
- 12:10
Canada needs outside securities regulator
Says Atkinson in speech to IDA members
- By: James Langton
- December 7, 2001 December 7, 2001
- 10:05
SEC’s Unger suggests changes to Regulation FD
Goal is to increase marketplace information
- By: James Langton
- December 6, 2001 December 6, 2001
- 18:15
OSFI implements penalties for late filings
Aims to reduce high frequency of late or erroneous filings
- By: IE Staff
- December 6, 2001 December 6, 2001
- 16:55
OSFI moves to promote better understanding of regulator’s role
Publishes first in a series of rulings
- By: IE Staff
- December 5, 2001 December 5, 2001
- 11:32
Ottawa proposes amendments to the Competition Act
Will grant private access to Competition Tribunal
- By: IE Staff
- December 5, 2001 December 5, 2001
- 10:05
CVMQ announces senior appointments
Laurion, Lavasseur new executive directors
- By: IE Staff
- December 3, 2001 December 3, 2001
- 15:30
MFDA says agency agreements must comply with rules
Dealers required to file sample agreement
- By: James Langton
- November 28, 2001 November 28, 2001
- 17:05
Weak markets hit Alberta regulator
ASC income plunges in third quarter
- By: IE Staff
- November 28, 2001 November 28, 2001
- 15:55
BCSC settles with man convicted of accepting secret commissions
Lazzell agrees to five year ban
- By: IE Staff
- November 27, 2001 November 27, 2001
- 15:20
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
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