CSA proposes framework to improve the regulation of OTC derivatives
The G20 has emphasized the importance of transparency in these markets and their protection against abuse
- By: James Langton
- November 25, 2011 November 25, 2011
- 12:45
Latest news in From the Regulators
CSA proposes enhancements to scholarship plan disclosure
Proposed prospectus form designed to provide better understanding of the benefits, risks and costs of investing in scholarship plans
- By: James Langton
- November 25, 2011 November 25, 2011
- 12:20
TMX deal ‘makes sense’, Maple tells AMF
Maple and TMX refuse to make new commitments to Montreal in AMF hearing
- By: Sylvain Larocque
- November 24, 2011 November 24, 2011
- 16:20
Tsatskin gets three years in jail for New Gold fraud
Sentencing makes it clear that the courts take these matters seriously, says OSC’s Atkinson
- By: IE Staff
- November 24, 2011 December 14, 2017
- 16:15
Several New Brunswick companies hit with cease-trade order
Priest and Phillips prohibited from becoming or acting as a director or officer
- By: IE Staff
- November 24, 2011 November 24, 2011
- 09:50
Flaherty introduces financial system review legislation
Act enhances the supervisory powers of the Financial Consumer Agency of Canada
- By: IE Staff
- November 23, 2011 November 23, 2011
- 15:10
Regulators stress consumer protection at Advocis symposium
ICBC wants to make it easier for MGAs to report bad agents directly to the regulators
- By: Olivia Glauberzon
- November 23, 2011 November 23, 2011
- 14:35
AMF set to begin Maple TMX hearings
Stakeholders get their say
- By: James Langton
- November 23, 2011 November 23, 2011
- 14:10
Federal Reserve to stress test largest U.S. banks
Review is designed to ensure that U.S. banks are adequately capitalized to weather a worsening economic storm
- By: James Langton
- November 22, 2011 November 22, 2011
- 16:45
Iran sanctions impose new obligations on Canadian financial institutions
OSFI urges firm to be diligent in ensuring they don't violate prohibitions
- By: James Langton
- November 22, 2011 November 22, 2011
- 14:25
OSC dismisses Rankin bid to revoke tipping settlement
Oral disclosure of Duic investigation to Rankin’s legal counsel deemed sufficient
- By: James Langton
- November 22, 2011 November 22, 2011
- 11:40
Canada, U.S., Britain slap more sanctions on Iran
Ottawa moves to block “virtually all” transactions with Iran’s central bank
- By: Mike Blanchfield
- November 22, 2011 November 22, 2011
- 08:00
SEC charges Canadian in alleged Ponzi scheme
New Futures Trading raised over US$1.3 million from investors
- By: James Langton
- November 18, 2011 November 18, 2011
- 16:40
Ex CIBC rep falsified documents: IIROC panel
McErlean misrepresented investment information to clients about their accounts
- By: Megan Harman
- November 18, 2011 November 18, 2011
- 16:10
CSA adopts changes to electronic document delivery policy
Amendments ensure policy remains up to date
- By: James Langton
- November 18, 2011 November 18, 2011
- 13:30
OSC, FINRA sign co-operation agreement
SROs to share information on firms and individuals, and collaborate on investigations and enforcement matters
- By: James Langton
- November 18, 2011 November 18, 2011
- 12:00
Court overturns BCSC reciprocal enforcement order
Regulator failed to provide reasons for its order
- By: James Langton
- November 16, 2011 December 14, 2017
- 17:30
Boiler room operators get jail time
Da Silva and O’Brien each sentenced to 27 months
- By: IE Staff
- November 16, 2011 November 16, 2011
- 14:15
SEC charges Morgan Stanley for improper fee arrangement
Firm to pay US$3.3 million to settle charges
- By: James Langton
- November 16, 2011 November 16, 2011
- 12:50
Pension regulators update guidelines
New guidelines from CAPSA deal with prudent investment practices and pension funding
- By: James Langton
- November 16, 2011 November 16, 2011
- 11:10
MFDA bans fund salesman
Hefford obtained blank, pre-signed forms for 65 clients
- By: IE Staff
- November 15, 2011 November 15, 2011
- 17:30
B.C. man fined $1.5 million for illegal insider trading
Hu made misleading statements to BCSC investigators
- By: James Langton
- November 15, 2011 November 15, 2011
- 12:00
Copycat website designed to dupe investors: NASAA
Requests to submit personal account information and money are red flags of investment fraud
- By: James Langton
- November 14, 2011 November 14, 2011
- 16:45
Members wanted for OSC policy committee
The regulator is looking for three prospective candidates to serve on the securities advisory committee
- By: James Langton
- November 11, 2011 November 11, 2011
- 13:00
Sale of Maple Leaf bonds breached Securities Act: OSC
A sanctions hearing is pending
- By: IE Staff
- November 11, 2011 November 11, 2011
- 09:00