Uncertainty an obstacle to OTC derivatives reform
FSB releases latest progress report
- By: James Langton
- November 1, 2012 November 1, 2012
- 07:25
Latest news in From the Regulators
Regulators partner to increase consumer protection and improve mortgage broker standards
The Mortgage Broker Regulators’ Council of Canada ncludes representatives from the nine provinces
- By: James Langton
- November 1, 2012 November 1, 2012
- 07:00
NASAA warns investors of “Sandy scams”
Potential investors urged to use caution if approached with unsolicited Sandy-related investment offers
- By: James Langton
- October 31, 2012 October 31, 2012
- 15:45
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
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