Common capital standards for insurers gaining momentum: OSFI head
The industry is less likely to reach consensus on a set of accounting standards that’s appropriate for every country
- By: Megan Harman
- December 12, 2012 December 12, 2012
- 12:10
Latest news in From the Regulators
SEC charges fund directors over asset pricing
Morgan Keegan funds were invested in securities backed by subprime mortgages
- By: James Langton
- December 10, 2012 December 10, 2012
- 15:30
OSFI adopts updated bank capital rules
New Canadian guidelines take effect Jan. 1, but other jurisdictions face delays implementing Basel III
- By: James Langton
- December 10, 2012 December 10, 2012
- 10:20
OSC suspends Jory Capital
Firm’s capital position leads to suspension by several provinces
- By: James Langton
- December 7, 2012 December 7, 2012
- 16:30
Goldman Sachs fined US$1.5 million for trading glitch
Fine settles CFTC charges that firm failed to supervise its employees
- By: James Langton
- December 7, 2012 December 7, 2012
- 15:30
IIROC to implement revised electronic trading rules
Changes designed to ensure the effective management of risks associated with electronic trading
- By: James Langton
- December 7, 2012 December 7, 2012
- 12:50
CSA proposes rules for OTC derivatives
Notice outlines proposed rules for reporting derivatives trades to trade repositories
- By: James Langton
- December 6, 2012 December 6, 2012
- 10:55
NASAA sees spike in online crowdfunding
Regulators watch for signs of investment fraud
- By: James Langton
- December 5, 2012 December 5, 2012
- 15:30
No monetary compensation for dropped allegations: NSSC
Regulator says it doesn’t have the authority grant declarations, compensation or costs sought by three men
- By: James Langton
- December 5, 2012 December 5, 2012
- 14:40
UK regulator proposes new LIBOR rules
FSA proposals include regulating benchmarks
- By: James Langton
- December 5, 2012 December 5, 2012
- 12:10
OSC won’t pursue action against Trump hotel developers
Investors have launched a multimillion-dollar lawsuit against Talon and its directors
- By: The Canadian Press
- December 4, 2012 December 4, 2012
- 15:50
NSSC approves settlement with NBF
Dealer fined $75,000 for failing to supervise trading
- By: IE Staff
- December 4, 2012 December 4, 2012
- 15:15
Regulators committed to streamlining rules for OTC derivatives
Global regulators say they have identified conflicts, inconsistencies, and duplicative requirements within their proposed rules
- By: James Langton
- December 4, 2012 December 4, 2012
- 13:00
IIROC to target proprietary products, KYC disclosure
Compliance report signals SRO’s priorities for the coming year
- By: James Langton
- December 4, 2012 December 4, 2012
- 11:30
Australia to enshrine advisor and planner titles in law
Bill would preventing anyone who is not a qualified financial planner or financial advisor from using those titles
- By: James Langton
- December 4, 2012 December 4, 2012
- 10:35
Raymond James fined $50,000 for failing to supervise branch manager
Off-site supervisors mistakenly believed trading platform would ensure all options trades were appropriate for client accounts
- By: Fiona Collie
- December 3, 2012 December 3, 2012
- 14:35
SEC charges China affiliates of top accounting firms
Five firms charged with securities law violations
- By: James Langton
- December 3, 2012 December 3, 2012
- 13:00
OSC accuses Ernst & Young of failing to meet standards in Sino-Forest audits
Regulator says accounting firm breached securities laws
- By: James Langton
- December 3, 2012 December 3, 2012
- 12:20
MFDA extends suitability obligations to cover borrowing to invest
Amendments require securities commission approval before they take effect
- By: James Langton
- December 3, 2012 December 3, 2012
- 11:25
FSA proposes emergency product intervention rules
Consultation outlines instances which may trigger temporary rules to protect UK investors
- By: James Langton
- December 3, 2012 December 3, 2012
- 09:40
NBSC warns of possible boiler room scheme
Investor loses more than $12,000
- By: IE Staff
- November 30, 2012 November 30, 2012
- 15:20
MFDA approves new directors
By-law amendments confirmed at AGM
- By: IE Staff
- November 30, 2012 November 30, 2012
- 06:30
CSA moves to modernize proxy voting communication
Amendments designed streamline communications with investors who hold securities through intermediaries
- By: IE Staff
- November 29, 2012 November 29, 2012
- 13:50
Ex branch manager fined for supervisory failings
Former DWM Securities manager failed to ensure that rep’s recommendations were suitable for clients
- By: IE Staff
- November 27, 2012 November 27, 2012
- 11:33
Ex broker suspended for unsuitable leveraged ETF recommendations
Poor knowledge of the product and its risks lead to $30,000 fine
- By: IE Staff
- November 26, 2012 November 26, 2012
- 15:20