OSFI issues revised earthquake guideline
Revision represents a principles-based approach to managing earthquake exposure
- By: James Langton
- February 28, 2013 February 28, 2013
- 18:15
Latest news in From the Regulators
Short sale rules adequate, regulators say
CSA/IIROC working group does not believe that additional measures are needed
- By: James Langton
- February 28, 2013 February 28, 2013
- 16:20
OSC makes fighting fraud a priority
2012 report shows that over half of new enforcement cases include allegations of fraud
- By: James Langton
- February 28, 2013 February 28, 2013
- 15:20
CSA adopts prospectus rule changes
Changes make the process more streamlined and accessible to users
- By: James Langton
- February 28, 2013 February 28, 2013
- 11:35
ESMA warns investors about contracts for difference
European regulators say investors should only consider trading in CFDs if they have extensive experience trading in volatile markets
- By: James Langton
- February 28, 2013 February 28, 2013
- 10:25
Court orders Rankin to pay costs
OSC entitled to receive $20,000 in costs from failed settlement appeal
- By: James Langton
- February 27, 2013 February 27, 2013
- 15:15
Former rep fined $50,000 over mortgage scheme
Conville given six-month suspension
- By: Fiona Collie
- February 27, 2013 February 27, 2013
- 15:00
UK backs short-selling ban on Italian stocks
FSA adopts temporary prohibition for trading shares in several Italian stocks
- By: James Langton
- February 27, 2013 February 27, 2013
- 09:10
SEC charges three hedge fund execs with fraud
New Stream Capital offers plead not guilty
- By: James Langton
- February 26, 2013 February 26, 2013
- 18:00
IOSCO reviews investor education
Report details a wide range of approaches, common strategies and challenges
- By: James Langton
- February 25, 2013 February 25, 2013
- 18:00
Illegal distribution of Majestic shares raised $5.3 million
OSC sanctions hearing scheduled for March 15
- By: James Langton
- February 25, 2013 February 25, 2013
- 17:40
OSC panel releases FactorCorp decision
Sanctions hearing set for April 18
- By: James Langton
- February 25, 2013 February 25, 2013
- 15:00
SEC sets compliance exam priorities
U.S. regulator to focus on sales practices and fraud
- February 25, 2013 February 25, 2013
- 07:00
Edmonton rep fined $75,000 for off-book dealings
Six Richardson GMP clients invested $6 million in a Hong Kong-based company off-book
- February 22, 2013 February 22, 2013
- 10:20
CFTC sues CME NYMEX over information leaks
Regulator alleges former employees disclosed customer information
- By: James Langton
- February 22, 2013 February 22, 2013
- 08:35
OSC seeks trading ban against former Livent officers
Fraud convictions could lead to possible sanctions
- By: James Langton
- February 21, 2013 February 21, 2013
- 17:30
OSC extends stay of Northern penalties
Commission still reviewing IIROC decision
- By: James Langton
- February 21, 2013 December 14, 2017
- 16:30
Enforcement cases rise in 2012: CSA
The value of disgorgement, restitution and compensation ordered jumps to $120.6 million
- By: James Langton
- February 21, 2013 February 21, 2013
- 12:45
Canada to harmonize market circuit breakers
IIROC will continue to harmonize with the new U.S. market-wide safety valves
- By: James Langton
- February 21, 2013 February 21, 2013
- 11:40
IIROC to expand trading oversight of debt securities
Proposed rule would require dealers to report all debt market transactions
- By: James Langton
- February 20, 2013 February 20, 2013
- 12:00
ESMA eyes proxy advisors
European regulators recommend code of conduct
- By: James Morton
- February 19, 2013 February 19, 2013
- 18:00
Global regulators closer to final derivatives margin requirements
Basel Committee and IOSCO seeking comment on the latest version of the proposal.
- By: James Langton
- February 19, 2013 February 19, 2013
- 12:15
Head of UK prudential regulator appointed
Andrew Bailey name CEO of new Prudential Regulation Authority
- By: James Langton
- February 19, 2013 February 19, 2013
- 12:15
SEC investigating trades surrounding Heinz deal
U.S. regulator obtains emergency asset freeze of Swiss trading account
- By: James Langton
- February 15, 2013 February 15, 2013
- 17:15
Tafara leaving SEC
Fisher will become acting director of the U.S. regulators office of international affairs
- By: James Langton
- February 15, 2013 February 15, 2013
- 16:50