Canada Australia regulatory co-operation arrangement signed
Arrangement with AMF, OSC, ASC and BCSC to assist the supervision of companies that operate in Canada and Australia
- By: James Langton
- February 10, 2012 February 10, 2012
- 09:20
Latest news in From the Regulators
U.S. moves to address banks’ FATCA concerns
Intergovernmental approach to implementation shows that the U.S. government is listening, IIAC says
- By: Rudy Mezzetta
- February 9, 2012 February 9, 2012
- 14:00
US Fed fines banks US$766.5 million
Sanctions levied in mortgage settlement
- By: James Langton
- February 9, 2012 February 9, 2012
- 13:30
Regulators modernize rules for mutual funds
Amendments will ease access to market for ETFs, allow mutual funds to short sell up to 20% of NAV
- By: James Langton
- February 9, 2012 February 9, 2012
- 11:55
NBSC alerts investors about email hack attacks
Regulator outlines tell-tale signs of hacked accounts
- By: James Langton
- February 8, 2012 February 8, 2012
- 13:00
OSC lays charges in insider tipping and trading scheme
Regulator alleges GMP executive assistant was “central figure” in million dollar scheme
- By: James Langton
- February 7, 2012 February 7, 2012
- 16:30
Quebec City rep violated rules: IIROC panel
Rail obstructed IDA investigation, failed to use due diligence
- By: IE Staff
- February 7, 2012 February 7, 2012
- 14:35
Manitoba investors warned about possible advanced fee scheme
Goldman and Lyle Consulting Group is soliciting shareholders using false address and phone numbers, MSC says
- By: James Langton
- February 7, 2012 February 7, 2012
- 11:00
ASC says Azteca Gold CEO mislead investors
Regulators say Matthew Russell issued misleading statements about the company’s Two Mile project in Idaho
- By: The Canadian Press
- February 7, 2012 February 7, 2012
- 08:15
UK regulator to adopt “twin peaks” model
The separation of prudential regulation from conduct regulation means will mean that banks, building societies, insurers and major investment firms will have two groups of…
- By: James Langton
- February 6, 2012 February 6, 2012
- 11:10
Zungui Haixi, CEO and chairman broke securities laws: OSC panel
Company failed to maintain an audit committee and didn’t file financial statements on time
- By: The Canadian Press
- February 3, 2012 February 3, 2012
- 16:20
MFDA fines, bans advisor
Police investigating fraud allegations against Jennifer Killins in response to investor complaints
- By: Olivia Glauberzon
- February 3, 2012 February 3, 2012
- 15:40
Regulators approve IIROC integrated fee model
The proposed dealer regulation fee model will charge a $250 fee for each registered individual
- February 3, 2012 February 3, 2012
- 15:00
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
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