Mining disclosure concerns CSA
Regulators aim to address compliance problems with “preliminary economic assessments”
- By: James Langton
- August 16, 2012 August 16, 2012
- 11:10
Latest news in From the Regulators
CSA extends comment period for proxy voting regulations
Deadline extended to September 21
- By: James Langton
- August 16, 2012 August 16, 2012
- 10:20
IIROC says two B.C. reps failed as gatekeepers
Myatovic and Lowe to face penalty hearing
- By: IE Staff
- August 15, 2012 August 15, 2012
- 15:00
OSFI revises earthquake exposure guideline
Changes to the capital rules for P&C insurers aim to improve their ability to capitalize against earthquakes
- By: James Langton
- August 15, 2012 August 15, 2012
- 13:30
FINRA expels firm for misstating financial records
CEO and CFO of WJB Capital Group sanctioned
- By: James Langton
- August 15, 2012 August 15, 2012
- 11:10
British bank reaches settlement with New York regulator
Standard Chartered Bank to pay US$340 million penalty
- By: James Langton
- August 14, 2012 August 14, 2012
- 15:00
OSC orders compliance improvements at Heritage Education Funds
HEF is the third scholarship plan to receive an OSC order in recent weeks
- By: James Langton
- August 14, 2012 August 14, 2012
- 12:35
Compensation models must be suitable to clients: IIROC
Draft guidance aims to enhance retail investor protection, and clarify what dealers need to do to meet their regulatory obligations
- By: James Langton
- August 14, 2012 August 14, 2012
- 12:00
IIROC extends comment period for marketplace thresholds
Firms get more time to respond to Knight Capital trading glitch
- By: James Langton
- August 13, 2012 August 13, 2012
- 15:55
OSFI outlines implementation of Basel III rules
Banks must start providing better disclosure in Q1 2013
- By: James Langton
- August 13, 2012 August 13, 2012
- 11:45
Broker pair fined for Earl Jones fraud roles
RBC DS fined $500,000; Two Montreal brokers each fined $100,000
- By: IE Staff
- August 13, 2012 August 13, 2012
- 10:30
OSC imposes conditions on scholarship plan dealer
Knowledge First Financial must appoint independent KYC monitor
- By: James Langton
- August 10, 2012 August 10, 2012
- 16:45
TSXV recognition order now in effect: BCSC
B.C. regulator publishes letters of undertakings
- By: James Langton
- August 10, 2012 August 10, 2012
- 13:20
Ottawa publishes PRPP regulations
OSFI to levy fees to cover the cost of licensing and providing ongoing supervision of pooled registered pension plans
- By: James Langton
- August 10, 2012 August 10, 2012
- 12:45
British regulator reviewing LIBOR practices
Discussion paper outlines weaknesses that have eroded LIBOR’s credibility as a benchmark and sets out details on reform
- By: James Langton
- August 10, 2012 August 10, 2012
- 08:30
BMO InvestorLine cleared to offer advice service
Online brokerage granted registration exemption to provided recommendations on mutual funds and equities to clients
- By: James Langton
- August 9, 2012 August 9, 2012
- 15:00
CIBC World Markets fined $85,000
Dealer allowed unsuitable options trades for two clients
- By: IE Staff
- August 9, 2012 August 9, 2012
- 10:30
OSFI issues draft of revised capital rules for banks
Guideline reflects Basel reforms
- By: James Langton
- August 7, 2012 August 7, 2012
- 15:45
Alberta insider fined $60,000
Healing had advance notice of acquisition of Matrikon
- By: IE Staff
- August 7, 2012 August 7, 2012
- 15:40
Woman fined $20,000 for withholding information from ASC
Investigation involved restated interim financial statements of Genesis Land Development Corp.
- By: IE Staff
- August 7, 2012 August 7, 2012
- 14:40
B.C. company, two directors broke securities laws: BCSC
JV Raleigh Superior Holdings sold securities without being registered
- By: IE Staff
- August 7, 2012 August 7, 2012
- 13:00
OSFI proposes changes to corporate governance guidelines
Revisions reflect developments in international standards
- By: James Langton
- August 7, 2012 August 7, 2012
- 10:30
SEC freezes more funds in Nexen insider trading case
Emergency court order freezes US$6.5 million in assets
- By: James Langton
- August 7, 2012 August 7, 2012
- 07:00
OSC expands Investor Advisory Panel mandate
The commission has decided against appointing one full-time member to the panel
- By: James Langton
- August 3, 2012 August 3, 2012
- 13:00
IIROC 2012 strategic plan adds new goals
Plan will guide IIROC’s efforts to strengthen investor protection and stakeholder confidence
- By: James Langton
- August 3, 2012 August 3, 2012
- 11:00