CSA focuses on investor protection
Securities regulators release three-year business plan
- By: James Langton
- July 9, 2013 December 19, 2017
- 11:15
Latest news in From the Regulators
Quadrus fined for lax supervision
Fund dealer failed to provide close supervision to fund salesman who violated terms placed on him by the Nova Scotia Securities Commission
- By: IE Staff
- July 9, 2013 December 19, 2017
- 09:50
Financial information groups face New York probe
Thomson Reuters agrees to stop giving advance look to high frequency traders
- By: James Langton
- July 8, 2013 December 19, 2017
- 16:10
UK endorses banking reforms
Government says it intends to strengthen standards in banking
- By: James Langton
- July 8, 2013 December 19, 2017
- 14:15
CRM 2: Competing products, different rules?
Rebecca Cowdery, partner at Borden Ladner Gervais and a specialist in the regulation of investment funds, discusses industry concerns that CRM 2 (in effect July…
- By: Rebecca Cowdery
- July 8, 2013 December 19, 2017
- 13:45
Australian regulators to monitor analyst briefings
All investors — large and small — should have access to equal information from listed companies, ASIC says
- By: James Langton
- July 8, 2013 December 19, 2017
- 11:00
Basel Committee seeks views on complexity of bank capital rules
Report examines the challenge of how to balance the conflicting goals of risk sensitivity, simplicity and comparability
- By: James Langton
- July 8, 2013 December 19, 2017
- 09:30
Report finds wide variation in how banks assess risk of defaults
There are notable outliers evident in each asset class, but the sovereign asset class shows the greatest variation
- By: James Langton
- July 5, 2013 December 19, 2017
- 08:40
Basel proposes tougher treatment for how banks cover exposure to equity funds
Revised standard will help address risks associated with interactions with shadow banks
- By: IE Staff
- July 5, 2013 December 19, 2017
- 08:05
CSA publishes framework for direct electronic access
The regulation of access has become ever more critical to the overall regulation of electronic trading
- By: James Langton
- July 4, 2013 December 19, 2017
- 11:00
European regulators target under-performing complex products
Report examines alternative investment funds and structured products sold to retail investors
- By: James Langton
- July 4, 2013 December 19, 2017
- 09:15
OSFI warns banks on Iran
Financial Action Task Force concerned about Iran’s failure to address terrorist financing
- By: James Langton
- July 3, 2013 December 19, 2017
- 16:10
IIROC altered Inter Pipeline trades
The trading price dropped 35% in 24 seconds due the automatic triggering of a number of stop loss orders
- By: James Langton
- July 3, 2013 December 19, 2017
- 15:35
Basel refines big bank assessments
Global banking regulators issue an updated assessment methodology for systemically important banks
- By: James Langton
- July 3, 2013 December 19, 2017
- 08:00
OSC Investor Alert: Equity Star Momentum Growth Fund
The Ontario Securities Commission (OSC) is warning Ontario investors not to invest with Equity Star Momentum Growth Fund, which purports to be located in the…
- By: IE Staff
- July 2, 2013 December 19, 2017
- 15:50
First phase of CRM 2 takes effect July 15
Rebecca Cowdery, partner at Borden Ladner Gervais and a specialist in the regulation of investment funds, explains the impact of the new CRM 2 regulations…
- By: Rebecca Cowdery, Paula Virany
- July 2, 2013 December 19, 2017
- 14:50
ASC orders sanctions in illegal insider trading of Eveready shares
Penalties total more than $2 million
- By: IE Staff
- July 2, 2013 December 19, 2017
- 14:00
IOSCO outlines challenges faced by global securities regulators
Chairman emphasizes the growing role behavioral economics and social media will play in IOSCO’s work
- By: James Langton
- July 2, 2013 December 19, 2017
- 11:10
New Brunswick consolidates industry regulation
Newly minted FCSC provides one-stop point of contact for financial services consumers
- By: IE Staff
- July 2, 2013 December 19, 2017
- 10:00
OSC to consider reciprocating sanctions
Regulator seeking to impose penalties against Ajit Basi and Vincent Sirianni
- By: James Langton
- June 28, 2013 December 19, 2017
- 14:55
Ontario securities amendments now in effect
Budget bill received royal assent earlier this month
- By: James Langton
- June 28, 2013 December 19, 2017
- 14:30
Killins pleads guilty to $1 million fraud
Former Waterloo advisor Jennifer Killins still awaits a sentencing hearing, expected in September
- By: Clare O’Hara
- June 28, 2013 December 19, 2017
- 11:35
Basel Committee proposes derivatives reforms
Proposals set out how derivatives transactions should be treated under Basel III
- By: James Langton
- June 28, 2013 December 19, 2017
- 10:25
IIROC proposes changes to plain language rules
SRO considers dropping sections that give district councils the power to suspend or terminate a dealer
- By: James Langton
- June 28, 2013 December 19, 2017
- 07:00
IIROC welcomes two dealers
Peregrine formally resigns membership
- By: James Langton
- June 27, 2013 December 19, 2017
- 16:00