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Company: Ontario Securities Commission

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OSC to roll out continuous disclosure review of investment funds

Outlines general features of new program

By: IE Staff
March 3, 2003 March 3, 2003
11:40

Regulators approve settlement reached with CIBC World Markets

The Ontario and Quebec securities commissions have approved a settlement with CIBC World Markets Inc. at a joint hearing held Thursday. In the agreements, CIBC World Markets admits that it failed to make adequate disclosure of its potential conflicts of interest in recommending the purchase of shares of Shoppers Drug Mart Corp. in five equities […]

By: IE Staff
February 27, 2003 February 27, 2003
16:10

OSC amends statement of allegations in Saxton case

Hearing scheduled for March 5

By: IE Staff
February 26, 2003 February 26, 2003
10:40

Court upholds OSC’s Shambleau ruling

Standard of disclosure "entirely consistent"

By: IE Staff
February 21, 2003 February 21, 2003
16:10

OSC finds Costello contravened Securities Act

Cites failure to disclose "many conflicts of interest"

By: IE Staff
February 19, 2003 February 19, 2003
09:40

OSC approves settlement with Offshore Marketing Alliance

English receives reprimand, 10 year ban

By: IE Staff
February 17, 2003 February 17, 2003
15:05

OSC extends cease trade order against Valentine

Commission cites breach of previous order

By: IE Staff
February 17, 2003 February 17, 2003
11:10

OSC to consider settlement with Offshore Marketing Alliance

Regulator alleges firm involved in "Prime Bank" scam

By: IE Staff
February 10, 2003 February 10, 2003
14:40

OSC modifies allegations against CIBC World Markets

Drops reference to registered advisors

By: IE Staff
February 7, 2003 February 7, 2003
16:20

Silma to head OSC Investment Funds Branch

New branch underscores importance of sector

By: IE Staff
January 29, 2003 January 29, 2003
10:05