Securities regulators must live up to global responsibility
Have a role in ensuring international financial stability, says FSA chairman
- By: IE Staff
- June 28, 2001 June 28, 2001
- 17:10
Latest news in From the Regulators
Joint Forum continuing efforts to harmonize consumer dispute resolution
Latest Forum newsletter canvasses the issues
- By: James Langton
- June 28, 2001 June 28, 2001
- 16:50
Don’t rely exclusively on analyst recommendations
SEC alerts investors to potential conflicts of interest
- By: IE Staff
- June 28, 2001 June 28, 2001
- 16:35
OSC commits to improved investor education
Investor Education Fund key element of this initiative
- By: IE Staff
- June 28, 2001 June 28, 2001
- 15:50
OSC forecasting $30 million surplus
Sets priorities for the coming year
- By: IE Staff
- June 28, 2001 June 28, 2001
- 14:50
OSC participates in international surf day
IOSCO-sponsored effort to crack down on shady Web sites
- By: IE Staff
- June 28, 2001 June 28, 2001
- 10:45
Demutualized exchanges
IOSCO paper examines concerns over commercial pressures
- By: IE Staff
- June 27, 2001 June 27, 2001
- 11:35
Quebec Securities Commission and Monetary Authority of Singapore create international alliance
Sign information pact
- By: IE Staff
- June 27, 2001 June 27, 2001
- 10:45
Uniform disclosure rule urged in U.S. report
GAO pushes for improved efforts from Securities Investor Protection Agency
- By: IE Staff
- June 26, 2001 June 26, 2001
- 17:05
Privileged documents
BCSC loses motion seeking information from Vantage Securities
- By: IE Staff
- June 26, 2001 June 26, 2001
- 15:45
Alberta Finance issues warning
Advertised offers to access locked-in savings contravene pension legislation
- By: IE Staff
- June 25, 2001 June 25, 2001
- 16:20
OECD money-laundering taskforce reports on progress
IDA urges members to lobby for changes to Canadian legislation
- By: IE Staff
- June 22, 2001 June 22, 2001
- 10:30
Ross given exemption enabling him to take on limited supervisory duties
Synergy VP will work closely with firm’s designated compliance officer
- By: IE Staff
- June 21, 2001 June 21, 2001
- 16:25
OSC grants exemption to Alexander Gluskin Investments
Gets relief for units of its pooled fund trusts
- By: IE Staff
- June 20, 2001 June 20, 2001
- 16:40
OSC decision grants relief from disclosure provision in sales practice rule
Condition not appropriate for Dundee Wealth as a reporting issuer
- By: James Langton
- June 20, 2001 June 20, 2001
- 16:20
Brokers involved in stock manipulation off the hook
BCSC panel decides against sanctions
- By: IE Staff
- June 20, 2001 June 20, 2001
- 09:00
U.S. online brokers fined $2 million by Canadian securities regulators
Two of them agree to seek registration in Canada
- By: IE Staff
- June 19, 2001 June 19, 2001
- 17:30
Several mutual fund managers receive OSC exemptions from MFDA
Reorganizing businesses to fit within new regulatory regime
- By: IE Staff
- June 19, 2001 June 19, 2001
- 17:05
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
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