OSC launches Continuous Disclosure Review Program on July 1
Ontario-based firms subject to review every four years
- By: IE Staff
- June 27, 2000 June 27, 2000
- 14:20
Latest news in From the Regulators
IDA fines former broker $5,000
DS rep recommended inappropriate securities
- By: IE Staff
- June 21, 2000 June 21, 2000
- 17:11
OSC cuts fees for market participants
Reductions expected to save $8 million
- By: IE Staff
- June 21, 2000 June 21, 2000
- 11:54
OSC set to relax 10% rule on index funds
Maintains limit for actively managed funds
- By: IE Staff
- June 19, 2000 June 19, 2000
- 14:42
MFDA rules finally published for comment
SRO status expected in January
- By: IE Staff
- June 16, 2000 June 16, 2000
- 08:32
OSC will publish MFDA rules tomorrow
Gives industry 90 days to comment
- By: IE Staff
- June 15, 2000 June 15, 2000
- 13:22
New software designed to track illicit trading activity
Regulators, exchanges and Mounties launch MICA
- By: IE Staff
- June 15, 2000 June 15, 2000
- 11:07
IDA pushes CSA to drop suitability requirements
Parties met yesterday, Oliver tells conference attendees
- By: IE Staff
- June 14, 2000 June 14, 2000
- 10:14
Privacy Commissioner calls proposed money laundering legislation overkill
Phillips says cure worse than disease
- By: IE Staff
- June 8, 2000 June 8, 2000
- 15:50
SEC report concedes after-hours trading inevitable
Call current after-hours market illiquid and volatile
- By: IE Staff
- June 8, 2000 June 8, 2000
- 15:31
Big five volunteer past violations of auditor independence
SEC grants accounting firms immunity
- By: IE Staff
- June 7, 2000 June 7, 2000
- 16:41
OSC approves settlement agreement with Koman, Ko and Castandea
Views conduct as serious breach of the Securities Act
- By: IE Staff
- June 7, 2000 June 7, 2000
- 16:19
CSA seeks comments on revised NI for commodity pools
Submissions due by August 4
- By: IE Staff
- June 6, 2000 June 6, 2000
- 16:05
TSE disciplines Fimis and Schlichting
Former Levesque traders fined
- By: IE Staff
- June 6, 2000 June 6, 2000
- 10:54
Notice of IDA discipline hearing
Regarding Mark Fridgant
- By: IE Staff
- June 5, 2000 June 5, 2000
- 15:39
OSC hearing postponed
Koman, Ko and Castaneda hearing adjourned to June 7
- By: IE Staff
- June 5, 2000 June 5, 2000
- 12:06
OFSI issues compliance guideline
Outlines good governance practices
- By: IE Staff
- May 31, 2000 May 31, 2000
- 15:09
CICA issues EPS draft for comment
Designed to harmonize Canada, U.S. standards
- By: IE Staff
- May 31, 2000 May 31, 2000
- 09:52
OMERS CIO calls for national securities commission
Gunn appeals to Senate banking committee
- By: IE Staff
- May 12, 2000 May 12, 2000
- 16:09
OSC to be more responsive to regulatory issues
General counsel speaks at Senate hearings
- By: IE Staff
- May 11, 2000 May 11, 2000
- 17:02
B.C. Securities Commission bans Pyper for five years
Analyst ordered to pay $27,000 for frontrunning
- By: IE Staff
- May 11, 2000 May 11, 2000
- 13:05
Setting the standard of corporate governance
CPP Investment Board plans to take the lead
- By: IE Staff
- May 4, 2000 May 4, 2000
- 10:29