New UK regulator sets out business plan
FCA says it will be much more proactive than the FSA
- By: James Langton
- March 25, 2013 December 19, 2017
- 14:00
Latest news in From the Regulators
CSA announces March 26 as Check Registration Day
Investors encouraged to check the registration of firms and individuals offering investment advice
- March 25, 2013 December 19, 2017
- 10:50
FSA finalizes reforms in wake of rate-rigging scandal
Until now firms were allowed to set benchmarks without regulatory supervision
- By: James Langton
- March 25, 2013 December 19, 2017
- 09:15
IOSCO seeks input on regulatory issues raised market fragmentation
Report recommends possible policy options
- By: James Langton
- March 22, 2013 December 19, 2017
- 16:00
Basel cracks down regulatory capital arbitrage
Proposed measures intended to ensure that the costs, of purchased credit protection are appropriately recognized in regulatory capital
- By: James Langton
- March 22, 2013 December 19, 2017
- 15:30
Warning issued on high-yield investment programs
Internet-based promotions targeting investors with “risk free” returns, BCSC says
- By: IE Staff
- March 22, 2013 December 19, 2017
- 13:45
OSC grants contingency fund relief to dealers
Ontario Contingency Trust Fund is being wound up
- By: James Langton
- March 22, 2013 December 19, 2017
- 10:25
Basel calls for better auditing of banks
Revised guidance is designed to bolster market confidence
- By: James Langton
- March 22, 2013 December 19, 2017
- 09:40
Court dismisses appeals by former Coventree execs
OSC sanctions against Geoffrey Cornish and Dean Tai upheld
- By: IE Staff
- March 21, 2013 December 19, 2017
- 11:50
ABCP investors set to receive $60 million settlement
The OSC and IIROC say settlement cheques will be sent my the end of March
- By: IE Staff
- March 21, 2013 December 19, 2017
- 10:30
FSCO warns of auto insurance scam
Consumer directed to pay premiums by email money transfer
- March 20, 2013 December 19, 2017
- 15:55
Northern Securities closing operations
Capital shortfall leads to suspension by IIROC
- By: James Langton
- March 20, 2013 December 19, 2017
- 11:50
Former fund salesman fined over loan
Borrowing from a client led to potential conflict of interest
- By: IE Staff
- March 20, 2013 December 19, 2017
- 09:30
Former fund salesman fined $500,000
Ciardullo engaged in personal financial dealings with at least 15 clients
- By: IE Staff
- March 20, 2013 December 19, 2017
- 09:00
Global banks on track to meet Basel targets
Banks have narrowed capital shortfall, survey finds
- By: James Langton
- March 19, 2013 March 19, 2013
- 09:30
Put investors’ interests first: survey
OSC’s Investor Advisory Panel releases survey findings on adviser/investor relationship
- By: James Langton
- March 18, 2013 March 18, 2013
- 15:40
Regulators want Libor replaced with several rates
Central bankers say there is strong case for enhancing reference rate choice
- By: James Langton
- March 18, 2013 March 18, 2013
- 11:50
Australian report finds HFT fears ‘overstated’
Australian Securities and Investments Commission report examines impact of dark liquidity and high-frequency trading
- By: James Langton
- March 18, 2013 December 14, 2017
- 10:30
SEC clarifies social media rules for mutual funds
Fund companies need not report all social media postings
- By: James Langton
- March 15, 2013 March 15, 2013
- 14:50
Hedge fund to pay US$600 million to settle insider trading charges
SEC announces historic monetary sanctions against CR Intrinsic and its affiliates
- By: James Langton
- March 15, 2013 March 15, 2013
- 14:00
SEC charges Canadian promoters in ‘pump-and-dump’ scheme
SEC alleges promoters sent investors misleading emails about Pacific Blue Energy and Tradeshow Marketing Co.
- By: James Langton
- March 15, 2013 March 15, 2013
- 13:40
UK panel launches four pillars to improve consumer protection
FSCP launches framework based around four principles of access, value, redress and policing
- By: James Langton
- March 15, 2013 March 15, 2013
- 10:05
JPMorgan misled investors, regulators: report
Firm hid losses and misinformed investors, regulators and the public, says U.S. Senate report
- By: James Langton
- March 15, 2013 March 15, 2013
- 08:40
Anisman calls on OSC to reconsider insider trading ruling
Panel’s ruling in case involving RIM exec narrows the ban on insider trading, securities lawyer says
- By: James Langton
- March 14, 2013 March 14, 2013
- 16:20