CFTC head reports progress on swaps market reform
Transparency, oversight and competition must be brought to the swaps market, Gensler says
- By: James Langton
- October 30, 2012 October 30, 2012
- 08:30
Latest news in From the Regulators
IOSCO reviews compliance with commodity derivatives market principles
Majority of regulators “broadly compliant” with IOSCO recommendations
- By: James Langton
- October 29, 2012 October 29, 2012
- 10:50
Ex Galleon exec settles SEC suit for US$1.75 million
Kris Chellam allegedly tipped hedge fund manager Raj Rajaratnam to short Xilinx stock
- By: James Langton
- October 26, 2012 October 26, 2012
- 13:50
Changes to MFDA governance approved
Amendments increase the number individuals who qualify to act as public directors
- By: James Langton
- October 25, 2012 October 25, 2012
- 15:15
BCSC launches new saveSMART InvestRight program
Adult financial literacy program complements work with students and seniors
- By: IE Staff
- October 25, 2012 October 25, 2012
- 13:40
CSA, IIROC propose framework for direct electronic access
Under the CSA proposal, only investment dealers can provide direct access, and only portfolio managers can use it
- By: James Langton
- October 25, 2012 October 25, 2012
- 11:20
CSA paper examines “best interest” fiduciary standard
Regulators looking for feedback on requiring advisors to act in their clients’ best interests
- By: James Langton
- October 25, 2012 October 25, 2012
- 10:00
U.S. brokerages warned not to cut compliance
FINRA reviewing conflicts of interest
- By: James Langton
- October 25, 2012 October 25, 2012
- 07:00
OSC bans former advisor, imposes $10 million in sanctions
Shuan McErlean raised $14 million from offshore investors
- By: James Langton
- October 24, 2012 October 24, 2012
- 15:00
AMF issues warning about Hong Kong company
Wealth Capital is making telephone solicitations to invest in the derivatives market
- By: James Langton
- October 24, 2012 October 24, 2012
- 14:00
AMF partnership launches financial fraud prevention project
Program intended to assist elderly members of ethnocultural communities
- By: IE Staff
- October 24, 2012 October 24, 2012
- 09:20
NASAA report details investor protection actions
State securities regulators levied penalties totaling US$126 million in 2011
- By: James Langton
- October 23, 2012 October 23, 2012
- 15:50
CFTC unveils customer fund protection plan
Proposals come in wake of failed derivatives dealers
- By: James Langton
- October 23, 2012 October 23, 2012
- 10:45
SEC adopts standards for clearing agencies’ operations and risk management
Rules designed to ensure that clearing agencies will be able to fulfill their responsibilities in derivatives and market traditional securities markets
- By: James Langton
- October 22, 2012 October 22, 2012
- 16:15
IIROC proposes guidelines on outsourcing
Draft guidance indicates that dealers cannot outsource the account opening process, assessing suitability, or handling client complaints
- By: James Langton
- October 22, 2012 October 22, 2012
- 11:15
Three arrested in $14 million Quebec Ponzi scheme
AMF says more arrests could be made
- By: James Langton
- October 19, 2012 October 19, 2012
- 15:50
1,500 hedge and private fund advisors register with SEC
Mandatory registration has given the SEC its first comprehensive look at advisors to these types of funds.
- By: James Langton
- October 19, 2012 October 19, 2012
- 15:30
SEC names Canadian woman in “hijacking” case
Amended complaint alleges women opened accounts in Toronto for three Ontario men accused of hijacking companies
- By: James Langton
- October 19, 2012 October 19, 2012
- 15:20
Ex B.C. rep fined $50,000
Four violations lead to three-year suspension
- By: IE Staff
- October 19, 2012 October 19, 2012
- 10:40
Hong Kong firm to pay US$14 million to settle SEC insider trading charges
Well Advantage agrees to pay out profits made from trading Nexen stock
- By: James Langton
- October 18, 2012 October 18, 2012
- 13:10
Sun Life UK fined $950,000 by British watchdog
FSA fines unit over “unclear and inadequate” governance arragements
- By: James Langton
- October 18, 2012 October 18, 2012
- 08:30
SEC proposes rules for derivatives dealers
Reforms call on regulator to impose margin and capital requirements
- By: James Langton
- October 17, 2012 October 17, 2012
- 15:30
AMF measure meant to encourage financial awareness
Regulators says AMF Index is a useful resource for developing and adapting educational tools
- By: James Langton
- October 17, 2012 October 17, 2012
- 13:20
Canadians’ overall investment knowledge is low: CSA
Survey reveals Canadians remain susceptible to investment fraud
- By: James Langton
- October 16, 2012 October 16, 2012
- 10:30
Fund salesman banned for sales not approved by dealer
Piette failed to fully and accurately respond to inquiries from Investia
- October 16, 2012 October 16, 2012
- 10:10