Sportfund and Retrocom get regulatory approval for merger
Will operate as Retrocom Growth Fund
- By: IE Staff
- April 19, 2000 April 19, 2000
- 11:35
Latest news in From the Regulators
Perigree files circular concerning Legg Mason deal
Going global
- By: IE Staff
- April 18, 2000 April 18, 2000
- 11:22
OSC levies sanctions against Norman Maxwell, Antonino Candido and John Dzambazov
Megalode Corporation found to have filed untrue financial statements
- By: IE Staff
- April 14, 2000 April 14, 2000
- 16:58
TSE sets new escrow rules
Maximum cut from three years to 18 months
- By: IE Staff
- April 13, 2000 April 13, 2000
- 10:37
CICA considering several changes in accounting standards
Seeks to harmonize with international rules
- By: IE Staff
- April 11, 2000 April 11, 2000
- 11:45
CSA providing relief for online dealers and discount brokers
Revises suitability obligations for trade executions
- By: IE Staff
- April 10, 2000 April 10, 2000
- 09:48
ASC refuses to register Swift Trade Securities Inc. as securities dealer
Application premature says executive director
- By: IE Staff
- March 31, 2000 March 31, 2000
- 18:06
OSC approves changes to TSE’s continued listing requirements 31/03/00
Changes effective April 1, 2000
- By: IE Staff
- March 31, 2000 March 31, 2000
- 17:57
Scotiabank files final prospectus
Issuing $500 million of trust securities
- By: IE Staff
- March 28, 2000 March 28, 2000
- 17:04
TD filing preliminary prospectus
Seeks to issue debentures as Tier 2 capital to finance CT acquistion
- By: IE Staff
- March 28, 2000 March 28, 2000
- 15:50
New reporting rules for mining companies
CSA seeking comment on proposals
- By: IE Staff
- March 28, 2000 March 28, 2000
- 09:30
OSC proposes new rules to strengthen public company financial reporting
Seeking industry comment
- By: IE Staff
- March 22, 2000 March 22, 2000
- 12:37
ASC reports third quarter results
Net income decreased
- By: IE Staff
- March 9, 2000 March 9, 2000
- 14:53
Ontario Court rules without hearing OSC submissions
YBM lawyer defeated in court application to get himself removed from OSC proceeding
- By: IE Staff
- February 15, 2000 February 15, 2000
- 17:10
OSC approves settlement agreement with Mikael Prydz
Issues five-year cease trade order
- By: IE Staff
- February 8, 2000 February 8, 2000
- 14:47
OSC to launch hearing against Regal
Numerous allegations against Sudbury employee
- By: IE Staff
- February 3, 2000 February 3, 2000
- 10:29
Norman Francis Rodgers disciplined
TSE accepts settlement
- By: IE Staff
- January 27, 2000 January 27, 2000
- 11:29
BCSC upholds CDNX decision
Disciplinary decision against Pollard stands
- By: IE Staff
- January 21, 2000 January 21, 2000
- 09:34
Loring Ward plans new small cap fund
Fund to offer choice of asset-allocation models
- By: IE Staff
- January 18, 2000 January 18, 2000
- 15:13
Pre-trial Conference held in OSC case against Michael Cowpland
His lawyers bringing motion to move trial to Ottawa
- By: IE Staff
- January 14, 2000 January 14, 2000
- 16:10
Alberta Securities Commission sanctions John Gordon Follgard
Failed to file timely insider trading reports
- By: IE Staff
- January 14, 2000 January 14, 2000
- 13:35
YMG plans Gorilla fund
Files prospectus for high-tech closed-end fund
- By: IE Staff
- January 12, 2000 January 12, 2000
- 12:08
OSC issues constraints on Phoenix Research and Trading Corporation
Terms and Conditions in the wake of 'trading irregularities'
- By: IE Staff
- January 11, 2000 January 11, 2000
- 11:20
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
PricewaterhouseCoopers LLP violated auditor independence rules
SEC releases independent investigation report
- By: IE Staff
- January 7, 2000 January 7, 2000
- 09:31