Latest news in From the Regulators

SEC to require swaps dealers to register

OSC names Market Structure Advisory Committee members

  • By: IE Staff
  • October 12, 2011 October 12, 2011
  • 18:50

OSC to test legal aid in enforcement proceedings

BCSC launches three-year fraud awareness campaign

  • By: IE Staff
  • October 11, 2011 October 11, 2011
  • 18:25

B.C. joins other provinces with offering memorandum exemption

U.S. regulators issue proposal on bank trading activity

Montreal rep misappropriated money from his mother

  • By: IE Staff
  • October 11, 2011 October 11, 2011
  • 13:30

CFTC streamlines swaps compliance for foreign firms

FINRA enhances BrokerCheck

ASC reciprocates bans imposed by OSC

  • By: IE Staff
  • October 11, 2011 December 14, 2017
  • 11:33
FINRA seniors hotline reports success in 2015 article image Baby boomers alternate text for this image

FINRA seniors hotline reports success in 2015

Basel proposes overhaul of banking supervision

FINTRAC fines EMD

OSC grants relief to Credit Suisse Securities

Poloz to head BIS council for the Americas

FCA continues commitment to diversity

  • October 11, 2011 October 11, 2011
  • 11:33

OSC issues warning on Rosswell Group

  • By: IE Staff
  • October 11, 2011 December 14, 2017
  • 10:00

FAIR Canada calls for better leverage regulation

OSC seeks input on Maple Group takeover of TMX Group

ASC launches contest to kick off investor education month

  • By: IE Staff
  • October 6, 2011 October 6, 2011
  • 18:13

NSSC program promotes financial literacy in the classroom

  • By: IE Staff
  • October 6, 2011 October 6, 2011
  • 18:06

FINRA can’t sue to collect fines

OSFI revises capital rules for P&C insurers

  • October 5, 2011 October 5, 2011
  • 13:35

U.S. regulator issues alert on public nontraded REITs

  • October 4, 2011 October 4, 2011
  • 15:58

SROs can do more to foster competition: report

  • October 3, 2011 October 3, 2011
  • 15:45