OSC reprimands former mutual fund salesperson
Millard not registered to sell securities
- By: IE Staff
- November 14, 2000 November 14, 2000
- 16:45
Latest news in From the Regulators
Big Five accounting firms wring concessions from SEC
Regulator won't demand split of auditing and consulting divisions
- By: IE Staff
- November 13, 2000 November 13, 2000
- 11:10
SEC lays charges in another online fraud case
US$1.3 million raised in scheme
- By: IE Staff
- November 9, 2000 November 9, 2000
- 19:30
Former ScotiaMcLeod rep hit with $50,000 fine
Aiken charged with making fictitious bond trades
- By: IE Staff
- November 9, 2000 November 9, 2000
- 15:30
MFDA publishes draft membership application package
Urges prospective members to review guidelines
- By: IE Staff
- November 8, 2000 November 8, 2000
- 18:00
SEC files insider trading charge against former NationsBank employee
Alleges Svoboda earned more than US$1.2 million in illegal profits
- By: IE Staff
- November 8, 2000 November 8, 2000
- 10:30
SEC to hold open meeting on auditor independence
Levitt vows to push ahead with controversial changes
- By: IE Staff
- November 8, 2000 November 8, 2000
- 08:45
B.C. regulator adds two new commissioners
Six commissioners reappointed to FICOM
- By: IE Staff
- November 8, 2000 November 8, 2000
- 08:35
Presentation on new prospectus requirements available on ASC Web site
Requirements to take effect at year's end
- By: IE Staff
- November 7, 2000 November 7, 2000
- 14:50
StategicNova settles with OSC
Firm agrees to pay $400,000 in compensation to unitholders
- By: IE Staff
- November 7, 2000 November 7, 2000
- 09:25
Proposals would give investors the right to sue for misrepresentation
Indirect damage will provide sufficient ground for lawsuit
- By: IE Staff
- November 6, 2000 November 6, 2000
- 13:00
Pension plan administrators should educate themselves about new regulations
FSCO offers guidelines
- By: IE Staff
- November 3, 2000 November 3, 2000
- 16:50
OSC rebuffs application to adopt proposed rules for the exempt market
Test case brought by Baystreetdirects's McIntrye
- By: IE Staff
- November 2, 2000 November 2, 2000
- 14:40
OSC initiates proceedings against Bonham and SVC O’Donnell
Alleges manager repriced mutual funds
- By: IE Staff
- October 30, 2000 October 30, 2000
- 18:53
OSC finalizes rule on financial statements for issuers
Aims to improve availability of detailed interim statements
- By: IE Staff
- October 27, 2000 October 27, 2000
- 15:49
Vancouver promoter agrees to 10-year ban
BCSC disciplines John for issuing exaggerated news releases
- By: IE Staff
- October 24, 2000 October 24, 2000
- 15:55
Forum aims to provide Canadians with better investment information
Developing a dispute resolution system is a key priority
- By: IE Staff
- October 24, 2000 October 24, 2000
- 14:42
OSFI launches pilot program to streamline approval process
Agency prepares for passage of financial services reform legislation
- By: IE Staff
- October 23, 2000 October 23, 2000
- 11:00
TSE speeds up approval for particpation applications
Senior officer to oversee process
- By: IE Staff
- October 20, 2000 October 20, 2000
- 17:25
FSCO aims to ensure ongoing dialogue with stakeholders
Establishes new committees to consolidate consultation with industry and consumers
- By: IE Staff
- October 19, 2000 October 19, 2000
- 09:51
Issuers must lead the way to better corporate governance
Stromberg urges issuers to stick to principles of fairness and integrity
- By: IE Staff
- October 18, 2000 October 18, 2000
- 16:27
SEC tells Congress to stay out of auditor independence issue
Letter seeks to prevent intervention by Congress
- By: IE Staff
- October 17, 2000 October 17, 2000
- 16:20
SEC accuses former analyst of insider trading
Files civil complaint against former SSB employee
- By: IE Staff
- October 16, 2000 October 16, 2000
- 16:16
BCSC hits Schillers with $50,000 penalty for Quinto placement
Fraud robbed investors of protection afforded by legislation
- By: IE Staff
- October 16, 2000 October 16, 2000
- 14:59
CSA bends to advisor concerns regarding MFDA
Considers allowing advisors to preserve personal corporations
- By: IE Staff
- October 13, 2000 October 13, 2000
- 15:46