Securities regulators must combat fraud
NASAA develop guidelines for criminal juries to help secure convictions
- By: IE Staff
- January 10, 2000 January 10, 2000
- 11:45
Latest news in From the Regulators
PricewaterhouseCoopers LLP violated auditor independence rules
SEC releases independent investigation report
- By: IE Staff
- January 7, 2000 January 7, 2000
- 09:31
OSC lawyer allowed to stay on the YBM case
Motion to have staff counsel removed dismissed by Panel
- By: IE Staff
- January 6, 2000 January 6, 2000
- 16:06
B.C. broker’s appeal dismissed 23/12/99
BCSC revives four other charges
- By: IE Staff
- December 23, 1999 December 23, 1999
- 10:12
OSC puts selective disclosure under the microscope
71% of companies surveyed do not have a written policy
- By: IE Staff
- December 22, 1999 December 22, 1999
- 16:29
Toronto Stock Exchange opens Montreal office
Regulatory material to be published in French too
- By: IE Staff
- December 17, 1999 December 17, 1999
- 13:32
BCSC settles with securities lawyer
Seifert agrees to 12-year trading ban
- By: IE Staff
- December 17, 1999 December 17, 1999
- 09:48
TSE demutualization plan receives government approval
OSC approval sought
- By: IE Staff
- December 15, 1999 December 15, 1999
- 15:15
TSE demutualization plan receives government approval
OSC approval sought
- By: IE Staff
- December 15, 1999 December 15, 1999
- 15:15
OSC’s powers enhanced 15/12/99
New amendments directed at increased investor protection
- By: IE Staff
- December 15, 1999 December 15, 1999
- 13:54
OSC v. David Singh and Paul Tindall
Next Appearance set for February
- By: IE Staff
- December 14, 1999 December 14, 1999
- 17:29
BCSC issues cease trade orders against four companies
Prime Bank scheme shut down after joint investigation
- By: IE Staff
- December 13, 1999 December 13, 1999
- 10:08
B.C. Securities Commission makes fraud finding
<i>Sanctions to be levied against Eron Mortgage Corporation officers</i><br>
- By: IE Staff
- November 30, 1999 November 30, 1999
- 11:10
Competition Bureau needs to get proactive
<i>Must communicate better to encourage compliance</i><br>
- By: IE Staff
- November 26, 1999 November 26, 1999
- 14:41
OSC’s case against Dual Capital begins 24/11/99
<i>Case put over to Jan. 17.</i>
- By: IE Staff
- November 24, 1999 November 24, 1999
- 18:14
BCSC extends Noram suspension
<i>Hearing adjourned until New Year</i>
- By: IE Staff
- November 24, 1999 November 24, 1999
- 17:41
Mutual Reliance Review System lauded by CSA
<i>Dealer registration still under review</i><br>
- By: IE Staff
- November 22, 1999 November 22, 1999
- 09:52
OSC settles with Jennifer Dewling
<i>Former Fortune Financial COO sanctioned</i>
- By: IE Staff
- November 18, 1999 November 18, 1999
- 15:13
OSC issues permanent cease trading order against Sarnia broker
<i>Follows Timothy Dowswell's conviction for fraud</i><br>
- By: IE Staff
- November 15, 1999 November 15, 1999
- 17:14
OSC files new mutual fund industry rules with Ontario Finance Minister
<i>Approval (or rejection) due by January 11<SUP>th</i><br>
- By: IE Staff
- November 15, 1999 November 15, 1999
- 13:02
CSA requiring new mutual fund disclosure documents
<i>Move signals increased investor protection</i><br>
- By: IE Staff
- November 15, 1999 November 15, 1999
- 12:58
Regulators approve Canadian Venture Exchange
<i>CDNX begins operation in late November<i><br>
- By: IE Staff
- November 12, 1999 November 12, 1999
- 17:46
OSC issues allegations against Jennifer Dewling
<i>Case against former Fortune Financial Corp. COO will be heard next week</i><br>
- By: IE Staff
- November 12, 1999 November 12, 1999
- 11:16
Exchanges should consider expanded ownership
<i>Caisse de depot et placement CEO comments on Exchange's restructuring agreement</i><br>
- By: IE Staff
- November 11, 1999 November 11, 1999
- 13:15
IDA imposes disciplinary penalty against broker
<i>NS District Council fines David J. Oulton</i><br>
- By: IE Staff
- November 9, 1999 November 9, 1999
- 13:10