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
Latest news in From the Regulators
OSC adjourns proceeding against Cowpland and M.C.J.C. Holdings
<i>Allowing court hearing to proceed first</i><br>
- By: IE Staff
- October 28, 1999 October 28, 1999
- 14:21
OSC conducting disclosure survey
<I>400 public companies will come under the scope</I>
- By: IE Staff
- October 21, 1999 October 21, 1999
- 15:23
SEC clamps down on Internet stock auctioning
<i>Prevents sales on eBay Inc.</i><br>
- By: IE Staff
- October 20, 1999 October 20, 1999
- 15:00
EU concerns won’t delay Nov. 8 meeting 18/10/99
<i>Onex says it expected review when bids launched</i><br>
- By: IE Staff
- October 18, 1999 October 18, 1999
- 10:14
OSC files insider trader allegations against Michael Cowpland
<i>Court date set for November 22nd</i><br>
- By: IE Staff
- October 14, 1999 October 14, 1999
- 16:03
SEC proposes new rules
<i>Regulations designed to improve understanding of audit procedure</i><br>
- By: IE Staff
- October 7, 1999 October 7, 1999
- 14:10
Final conclusion not reached on new fee model
<i>MFDA decision expected in November</i><br>
- By: IE Staff
- October 6, 1999 October 6, 1999
- 10:30
Global Strategy Financial gets nod for new fund
<i>Canadian Companies Fund now available</i><br>
- By: IE Staff
- October 4, 1999 October 4, 1999
- 17:01
IFIC seeks to establish NAV standards
<i>Set to release a report for industry comment</i><br>
- October 1, 1999 October 1, 1999
- 15:40
TSE beefs up continued listing requirements
<i>Include market capitalization of $3M and public float of $2M</i>
- By: IE Staff
- October 1, 1999 October 1, 1999
- 08:35
Firm Capital Mortgage plans IPO
<i>Expects to raise $24 million</i><br>
- By: IE Staff
- September 29, 1999 September 29, 1999
- 12:13
SEC chair calls for one national exchange
<I>Electronic trading systems and options markets should be better regulated</
- By: IE Staff
- September 24, 1999 September 24, 1999
- 08:32
OSC approves settlement agreement
<i>Accused alleged to have given advice through the Net without registering</i><br>
- September 23, 1999 September 23, 1999
- 14:09
OSC proposes new rule for mutual fund reps
<I>Releases revision of controversial registration rule</I>
- By: IE Staff
- September 20, 1999 September 20, 1999
- 12:00
SEC settles fraud charges with Fleet Investment Advisors Inc.
<i>Alleged brokerage commissions used to pay for client referrals</i><br>
- By: IE Staff
- September 9, 1999 September 9, 1999
- 15:34
OSC suspends CCI Capital Canada’s registration 09/09/99
<i>Failed to meet OSC filing and capital requirements</i><br>
- By: IE Staff
- September 9, 1999 September 9, 1999
- 15:05
WSE gets approval for new venture capital listing
<i>Will be invited to join single Canadian venture capital exchange</I>
- By: James Langton
- September 9, 1999 September 9, 1999
- 09:48
OSC investigators seeking suspension of CCI Capital Canada Limited
<i>Alleging failure to meet capital requirements</i><br>
- By: IE Staff
- September 8, 1999 September 8, 1999
- 13:21
NYSE indefinite on plans to go public
<i>Will not be releasing Merrill Lynch report on Demutualization prospects</i>
- By: IE Staff
- September 2, 1999 September 2, 1999
- 15:36
Religion-based con artists prey on the faithful
<i>U.S. regulators warn of new trend in fraud</i>
- By: IE Staff
- September 1, 1999 September 1, 1999
- 13:15
Competition Bureau unveils changes to legislation
<i>Harmonizing English and French versions</i>
- By: IE Staff
- September 1, 1999 September 1, 1999
- 08:52