European regulators unveil tougher guidelines for automated trading
ESMA is committed to ensure that technological innovation does not pose a risk to the orderly functioning of the markets
- By: James Langton
- December 22, 2011 December 22, 2011
- 15:40
Latest news in From the Regulators
Ex CIBC broker fined $140,000
Silvaggio admits to misappropriating client funds
- By: IE Staff
- December 22, 2011 December 22, 2011
- 15:05
Decision confirms current regulatory regime working well, provinces say
Alberta finance minister calls on Ontario to sign on to passport system
- By: James Langton
- December 22, 2011 December 22, 2011
- 13:55
Top court rules against national regulator
National securities regulator not constitutionally legal
- By: James Langton
- December 22, 2011 December 22, 2011
- 10:00
New capital rules coming for P&C insurers
OSFI aims to develop rules that are more risk-sensitive
- By: James Langton
- December 21, 2011 December 21, 2011
- 16:55
Richmond man illegally sold shares, BCSC finds
Dyer raised US$863,000 for U.S. company from 83 investors
- By: IE Staff
- December 21, 2011 December 21, 2011
- 16:20
Ottawa proposes updated anti-money laundering rules
Changes likely to affect all financial sector firms
- By: James Langton
- December 21, 2011 December 21, 2011
- 11:55
Aon to pay US$16.3M in bribery case settlement
U.S. insurance brokerage firm has implemented anti-corruption program
- By: James Langton
- December 21, 2011 December 21, 2011
- 10:30
Fed proposes tougher rules for large U.S. banks
Proposals would apply to “systematically important” firms with consolidated assets of US$50 billion or more
- By: James Langton
- December 20, 2011 December 20, 2011
- 16:40
OSC extends comment period for proposed enforcement initiatives
Interest in no contest settlements prompts regulator to hold public hearing in the new year
- By: James Langton
- December 20, 2011 December 20, 2011
- 14:30
Vancouver brokers fined for OTC failings
IIROC panel says Jiwa and Hoffar failed in their role as gatekeepers of the capital markets
- By: IE Staff
- December 20, 2011 December 20, 2011
- 08:00
MFDA to use risk-based methodology in sales compliance exams
A dealer’s examination cycle may change
- By: James Langton
- December 19, 2011 December 19, 2011
- 17:30
OSC imposes sanctions against Phoenix group
Rathore, Petrozza and Maloney to jointly pay penalty of $250,000 for illegal distribution of securities
- By: Megan Harman
- December 19, 2011 December 19, 2011
- 16:00
Supreme Court to rule on national regulator
Top court says it will rule on the issue of a national securities regulator on Thursday
- By: James Langton
- December 19, 2011 December 19, 2011
- 13:50
Joint Forum proposes principles for supervision of financial conglomerates
Existing regulatory regime failed to fully capture all the activities of financial conglomerates during the financial crisis
- By: James Langton
- December 19, 2011 December 19, 2011
- 13:30
Basel outlines capital disclosure rules for banks
A lack of clarity on the quality of capital may have contributed to uncertainty during the financial crisis
- By: James Langton
- December 19, 2011 December 19, 2011
- 13:00
FSA fines insurer £2.8 million for failing to treat customers fairly
Regulator cities recruitment, training and supervision of sales agents
- By: James Langton
- December 19, 2011 December 19, 2011
- 11:55
Feds to prohibit banks from selling annuity-like products
Latest move intended to keep the businesses of banks and insurers separate, Flaherty says
- By: James Langton
- December 16, 2011 December 16, 2011
- 17:30
AMF increasing some costs and fees as of Jan. 1
2.6% increases apply to several fees
- By: The Canadian Press
- December 16, 2011 December 16, 2011
- 16:15
FINRA highlights commitment to investor protection
The U.S. self-regulatory organization has ordered more than US$19 million in restitution to harmed investors
- By: James Langton
- December 16, 2011 December 16, 2011
- 15:45
TSX granted permission to trade securities listed on other exchanges
OSC approves amendments to Toronto Stock Exchange rules
- By: James Langton
- December 16, 2011 December 16, 2011
- 15:40
SEC to appeal rejection of Citigroup deal
Regulator believes ruling harms investors by depriving them of “substantial, certain and immediate benefits”
- By: James Langton
- December 16, 2011 December 16, 2011
- 08:00
AMF revises framework for regulating money services business
Amendments intended to reduce administrative burden
- By: James Langton
- December 15, 2011 December 15, 2011
- 17:35
IIROC issues draft guidance on compliance
Draft is a response to rule changes resulting from registration reform
- By: James Langton
- December 15, 2011 December 15, 2011
- 15:00