SEC finds KMPG compromised auditor independence
Notes lack of care at senior levels
- By: IE Staff
- January 22, 2001 January 22, 2001
- 18:30
Latest news in From the Regulators
New CCRA guidlelines for third party civil penalty provisions
Agency seeking comment
- By: IE Staff
- January 22, 2001 January 22, 2001
- 15:50
Fighting investment scams
OSC and CARP co-produce educational video series
- By: IE Staff
- January 19, 2001 January 19, 2001
- 10:25
Policy governing junior resource issuers set to expire
OSC seeks comment
- By: IE Staff
- January 18, 2001 January 18, 2001
- 17:30
CSA issues reminder to investors
"Take time to know your advisor"
- By: IE Staff
- January 15, 2001 January 15, 2001
- 16:30
Investors should have say regarding stock options
SEC chairman says shareholders have a right to judge plans
- By: IE Staff
- January 11, 2001 January 11, 2001
- 18:00
IDA rules governing fairness opinions now in effect
Guidelines cover insider, issuer bids
- By: IE Staff
- January 11, 2001 January 11, 2001
- 13:40
Bear raid scheme led to collapse of Hanover Sterling
Fiero fined US$1 million
- By: IE Staff
- January 8, 2001 January 8, 2001
- 18:40
Outgoing SEC chairman pens letter to audit committees
Levitt champions auditor independence
- By: IE Staff
- January 8, 2001 January 8, 2001
- 10:30
SIA lauds new House Financial Services Committee
Commerce Committee leaves impressive legacy to investors
- By: IE Staff
- January 5, 2001 January 5, 2001
- 17:10
Ontario approves registration exemptions for U.S. brokers
Conditional relief effective January 1
- By: IE Staff
- January 5, 2001 January 5, 2001
- 12:40
SEC chairman to deliver major address in Philadelphia
Final Investors Town Meeting scheduled for January 16
- By: IE Staff
- January 4, 2001 January 4, 2001
- 16:30
SEC reaffirms role for independent fund directors
Initiatives strengthen directors' abilities to protect investors
- By: IE Staff
- January 3, 2001 January 3, 2001
- 17:30
BCSC fines scholarship dealer $22,500
Firm admits to using unregistered salespeople
- By: IE Staff
- December 22, 2000 December 22, 2000
- 12:25
IDA establishes eCommerce sub-committee
Will study electronic communication between issuers and dealers
- By: IE Staff
- December 21, 2000 December 21, 2000
- 17:50
SEC chairman announces resignation
Levitt to step down early in the new year
- By: IE Staff
- December 20, 2000 December 20, 2000
- 12:45
Paying for order flow in the spotlight
SEC report examines possible conflict of interest
- By: IE Staff
- December 20, 2000 December 20, 2000
- 10:35
MFDA publishes final application
SRO recognition expected in January
- By: IE Staff
- December 20, 2000 December 20, 2000
- 10:00
OSC grants AIC right to contemplate bid for Mackenzie
Decision removes securities restrictions
- By: IE Staff
- December 20, 2000 December 20, 2000
- 09:10
OSC to allow direct purchase plans
Proposed rule issued for comment
- By: IE Staff
- December 19, 2000 December 19, 2000
- 11:50
OSC policy determines whether issuer is in default
Commission seeks comment
- By: IE Staff
- December 18, 2000 December 18, 2000
- 15:40
FundEX fined for unregistered trading
BCSC investigation uncovers country-wide infractions
- By: IE Staff
- December 15, 2000 December 15, 2000
- 09:30
OSC takes action against Internet fraud
Four Ontario residents hit with cease trading orders
- By: IE Staff
- December 13, 2000 December 13, 2000
- 10:50
CGA not a public account
Ontario court reinstates conviction
- By: IE Staff
- December 12, 2000 December 12, 2000
- 13:00
CVMQ fines Maxima Capital
Suspends three company officers
- By: IE Staff
- December 12, 2000 December 12, 2000
- 12:30