Fund Facts, CRM 2 seen as complimentary
The expense of these two disclosure initiatives shouldn’t be passed on to investors
- By: Fiona Collie
- October 31, 2012 October 31, 2012
- 13:45
Latest news in From the Regulators
BCSC head highlights criminal cases
Criminal enforcement gathering momentum with the goal of sending a strong deterrence message
- By: James Langton
- October 31, 2012 October 31, 2012
- 09:50
Clarity needed on high frequency trading
Proposed IIROC definition is too broad, says Kloet
- By: Fiona Collie
- October 31, 2012 October 31, 2012
- 09:25
CSA to examine fund fees
Paper will examine whether regulatory measures are necessary to ensure that investors are being treated fairly
- By: James Langton
- October 30, 2012 October 30, 2012
- 16:10
OSC expands Investor Advisory Panel
Four new members named to panel
- By: James Langton
- October 30, 2012 October 30, 2012
- 15:30
OSC protection for whistleblowers a “work in progress”
Meaningful protection requires legislative change
- By: James Langton
- October 30, 2012 October 30, 2012
- 15:20
Regulators challenged by investors’ lack of trust
Demonstrating accountability and competencies are key to rebuilding investor confidence
- By: Fiona Collie
- October 30, 2012 October 30, 2012
- 14:30
OSC Dialogue: Regulator working to identify issues and take appropriate action
Several initiatives planned to further enhance investor protection and education
- By: Fiona Collie
- October 30, 2012 October 30, 2012
- 13:00
CSA proposes extended role for OBSI
The CSA plans to publish proposals that would make OBSI the mandatory dispute resolution mechanism for all dealers
- By: James Langton
- October 30, 2012 October 30, 2012
- 12:00
BCSC launches app for protection against investment fraud
Be Fraud Aware mobile app helps spot and report fruad
- By: IE Staff
- October 30, 2012 October 30, 2012
- 11:45
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
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