IIROC dealer margin rules released in plain language
A new provision has been added to set out the steps a dealer must take in deciding whether to allow a client to trade on…
- By: James Langton
- February 3, 2012 February 3, 2012
- 12:40
Latest news in From the Regulators
Swiss, UK launch investigations into rogue trading at UBS
Alleged episode of rogue trading led to a US$2.3 billion loss
- By: James Langton
- February 3, 2012 February 3, 2012
- 10:10
IIROC implements single-stock circuit breakers
The new circuit breakers will initially apply to all securities included in the S&P/TSX composite index, and ETFs that are comprised principally of listed securities
- By: James Langton
- February 2, 2012 February 2, 2012
- 13:20
IIROC fines Desjardins branch manager and rep
Brossard, Que. manager failed to supervise transactions by reps
- By: IE Staff
- February 2, 2012 February 2, 2012
- 11:50
Credit Suisse traders charged in subprime bond probe
Bond pricing allowed Credit Suisse to achieve fictional profits
- By: James Langton
- February 1, 2012 February 1, 2012
- 16:55
NASAA issues warning on high yield investments
Yield-starved investors cautioned to beware of risky or fraudulent investments promising higher yields
- By: James Langton
- February 1, 2012 February 1, 2012
- 14:40
MFDA fines two firms $100,000
FundEX and Investia ordered to implement leverage review action plans
- By: IE Staff
- February 1, 2012 February 1, 2012
- 14:00
MSC launches financial planning website
Website features a contest to motivate consumers to answer basic financial questions
- By: IE Staff
- February 1, 2012 February 1, 2012
- 11:40
UK regulator slaps record fine on ex-JC Flowers head for fraud
Ravi Sinha fined over fake invoices
- By: James Langton
- January 31, 2012 January 31, 2012
- 10:20
OSFI mulls allowing pension plans to use ‘buy-in annuities’
Comments sought on draft advisory
- By: James Langton
- January 30, 2012 January 30, 2012
- 17:20
ICBC sets precedent on regulating MGAs
Notice seeks to clearly define an MGA’s compliance responsibilities
- By: Olivia Glauberzon
- January 30, 2012 January 30, 2012
- 17:00
OSC suspends registration of Morgan Dragon and its principals
Investors cautioned not to purchase securities
- By: IE Staff
- January 30, 2012 January 30, 2012
- 16:00
Quebec open to collaboration on financial sector stability
Measures for preventing systemic risk could become an example of co-operative federalism
- By: James Langton
- January 30, 2012 January 30, 2012
- 10:45
Ex UBS trader pleads not guilty in alleged $2 billion fraud
Kweku Adoboli linked with unauthorized trades
- January 30, 2012 January 30, 2012
- 09:50
Class action on fund company market timing to proceed
Ontario court dismisses appeal by CI and AIC
- By: James Langton
- January 30, 2012 January 30, 2012
- 09:30
CSA adopts regulatory regime for credit rating agencies
New standards are consistent with international regimes
- By: James Langton
- January 27, 2012 January 27, 2012
- 11:30
UK unveils legislation for regulation overhaul
Financial Conduct Authority to replace Financial Services Authority
- By: James Langton
- January 27, 2012 January 27, 2012
- 10:30
Harper hints at changes to retirement income system
PM pledges to change elements of the system that are not funded to ensure sustainability
- By: James Langton
- January 27, 2012 January 27, 2012
- 09:30
W. H. Stuart fined $45,000
Ontario fund dealer penalized for supervisory failings and poor record keeping
- By: IE Staff
- January 27, 2012 January 27, 2012
- 08:00
Feds drop plans for national securities regulator
Ottawa goes back to the drawing board
- By: Sylvain Larocque
- January 26, 2012 January 26, 2012
- 18:00
SEC charges Latvian trader with hijacking accounts
Four firms charged for extending market access without registering as brokers
- By: James Langton
- January 26, 2012 January 26, 2012
- 17:20
Members wanted for MFDA policy advisory committee
Deadline for applications is Feb. 29
- By: James Langton
- January 26, 2012 January 26, 2012
- 16:30
FINRA warns investors of email hack attacks
Fraudsters gain access to an investor’s email account and then email instructions to their brokerage firm to transfer money
- By: James Langton
- January 26, 2012 January 26, 2012
- 15:40