Dispute resolution papers posted to FSCO Web site
Continuing education series now available online
- By: IE Staff
- August 15, 2000 August 15, 2000
- 10:24
Latest news in From the Regulators
ASC clears Cartaway director
Criticizes CEO over misleading news release
- By: IE Staff
- August 14, 2000 August 14, 2000
- 11:08
OSC announces agenda for sixth annual Dialogue conference
Toronto meeting to be simulcast in London, Ottawa, Sudbury
- By: IE Staff
- August 11, 2000 August 11, 2000
- 09:41
QSC investigating possible online touting of stocks
TD Evergreen employee focus of complaint
- By: IE Staff
- August 3, 2000 August 3, 2000
- 08:19
OSC disclosure survey reveals retail investors as second-class citizens
Selective disclosure the order of the day
- By: IE Staff
- August 2, 2000 August 2, 2000
- 15:51
QSC appoints director of capital markets
Bernier calls appointment an exciting challenge
- By: IE Staff
- August 2, 2000 August 2, 2000
- 09:09
CSA release report on mutual fund governance
Brown calls Erlichman report a leap forward
- By: IE Staff
- July 27, 2000 July 27, 2000
- 10:09
OSC set to settle with Singh on supervision of Tindall
Terms to be disclosed at hearing on July 31
- By: IE Staff
- July 26, 2000 July 26, 2000
- 17:05
BCSC finds Noram president responsible for breach of Securities Act
Says company incapable of acting without Willman
- By: IE Staff
- July 26, 2000 July 26, 2000
- 13:48
IDA fines M.R.S. Securities $35,000
Cites failure to maintain internal controls
- By: IE Staff
- July 26, 2000 July 26, 2000
- 10:12
IDA penalizes rep for failure to use due diligence
Ponech fined $6,000
- By: IE Staff
- July 26, 2000 July 26, 2000
- 09:56
Risk-adjusted capital mix-up leads to $60,000 penalty
HSBC Securities (Canada) fined for technology snafu
- By: IE Staff
- July 25, 2000 July 25, 2000
- 11:10
Advisor failed to meet know your client standard
Przygoda fined $5,000
- By: IE Staff
- July 25, 2000 July 25, 2000
- 10:46
IDA imposes penalties on former Merit Investment rep
Guillemette fined $110,000
- By: IE Staff
- July 25, 2000 July 25, 2000
- 10:43
OSC seeks permanent cease trade order against Kinlin
Former fund dealer sentenced to five years imprisonment
- By: IE Staff
- July 19, 2000 July 19, 2000
- 15:50
Canadian stock manipulated by U.S. Internet barker
SEC says Internet stock recommendation was false
- By: IE Staff
- July 18, 2000 July 18, 2000
- 17:28
IDA disciplines former Nikko Securities CFO
Imposes $20,000 fine
- By: IE Staff
- July 13, 2000 July 13, 2000
- 09:52
OSC grants extension to Gluskin Sheff fund prospectus
Fund to comply with plain language disclosure rules
- By: IE Staff
- July 11, 2000 July 11, 2000
- 11:34
Noram Capital contravened Ontario Securities Act alleges OSC
Company failed to deal with clients in good faith
- By: IE Staff
- July 10, 2000 July 10, 2000
- 16:15
Dey committee recommends greater diversity for corporate boards
Says directors must act on the interests of all stakeholders
- By: IE Staff
- July 10, 2000 July 10, 2000
- 10:54
Saucier to chair new Corporate Governance Committee
Report expected by spring 2001
- By: IE Staff
- July 10, 2000 July 10, 2000
- 10:29
U.S. report reviews trends in mutual fund fees
Recommends account statements disclosure operating expenses
- By: IE Staff
- July 6, 2000 July 6, 2000
- 16:00
IFBC says new MFDA regulations curtail consumers’ freedom of choice 29/06/00
Claims independent advisors will be regulated out of the fund business
- By: IE Staff
- June 29, 2000 June 29, 2000
- 10:49
Canaccord agrees to pay fines and costs in Stanhiser stock fraud
BCSC imposes audit on firm's compliance records
- By: IE Staff
- June 29, 2000 June 29, 2000
- 08:57
OSC publishes proposed rule for Web-based insider reporting
Insider reports would be required within 10 days of a trade
- By: IE Staff
- June 27, 2000 June 27, 2000
- 15:27