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
Latest news in From the Regulators
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
UK regulators to prevent back door listings
Proposed changes designed to bolster investor protection
- By: James Langton
- January 26, 2012 January 26, 2012
- 10:00
FSA fines U.S. hedge fund £7.2 million for insider trading
Regulator says David Einhorn and his hedge fund Greenlight Capital had inside information on Punch Taverns fundraising
- By: James Langton
- January 25, 2012 January 25, 2012
- 12:00
New model needed to protect consumers, says top UK regulator
The new approach includes a more active, interventionist regulator
- By: James Langton
- January 25, 2012 January 25, 2012
- 09:45
OSC extends halt on Sino Forest to April 16
Company agrees to extension
- By: The Canadian Press
- January 25, 2012 January 25, 2012
- 08:15
Basel Committee seeks input on capital disclosure requirements
Proposals designed to improve the transparency of regulatory capital and enhance market discipline
- By: James Langton
- January 24, 2012 January 24, 2012
- 17:05
OSC warns investors on the risks of leveraged investing
Notice explains the added risks that accompany leveraged investing, and reminds investors to pay attention to costs
- By: James Langton
- January 24, 2012 January 24, 2012
- 16:00
SEC settlement values soar in 2011
The biggest settlement reached during the year was for US$310 million with two Alberta men
- By: James Langton
- January 23, 2012 January 23, 2012
- 14:40
Hedge fund agrees to settle SEC insider trading charges
Diamondback agrees to pay US$9 million
- By: James Langton
- January 23, 2012 January 23, 2012
- 12:30
Monarch Wealth fined $60,000
Dealer failed to supervise leveraged trades, MFDA says
- By: Megan Harman
- January 20, 2012 January 20, 2012
- 17:00
Montreal broker suspended for unauthorized trading
Ex Canaccord rep fined $30,000
- By: IE Staff
- January 20, 2012 January 20, 2012
- 16:20
AMF allows more time for consumer compensation submissions
Comment period extended until March 9
- By: James Langton
- January 20, 2012 January 20, 2012
- 15:00
IIROC proposes changes to futures margin requirements
Proposed technical amendments aim to clarify that the requirements cover both commodities and financial futures
- By: James Langton
- January 20, 2012 January 20, 2012
- 12:20