SEC to require swaps dealers to register
SEC joins other U.S. regulators in proposing Volcker Rule
- By: James Langton
- October 12, 2011 October 12, 2011
- 20:05
Latest news in From the Regulators
OSC names Market Structure Advisory Committee members
Members to serve two-year terms
- By: IE Staff
- October 12, 2011 October 12, 2011
- 18:50
OSC to test legal aid in enforcement proceedings
Litigation Assistance Program will rely on volunteer counsel that are independent of the commission
- By: James Langton
- October 12, 2011 October 12, 2011
- 15:00
BCSC launches three-year fraud awareness campaign
Phase one of the campaign is primarily focused on Chinese and South Asian communities
- By: IE Staff
- October 11, 2011 October 11, 2011
- 18:25
B.C. joins other provinces with offering memorandum exemption
Proposed exemption aims to help early stage companies raise capital
- By: James Langton
- October 11, 2011 October 11, 2011
- 15:30
U.S. regulators issue proposal on bank trading activity
Proposal clarifies the scope of Volcker rule prohibitions and provides certain exemptions
- By: James Langton
- October 11, 2011 October 11, 2011
- 14:33
Montreal rep misappropriated money from his mother
Chher diverted $60,000 to use for his own personal investments
- By: IE Staff
- October 11, 2011 October 11, 2011
- 13:30
CFTC streamlines swaps compliance for foreign firms
Firms allowed to comply with the rules in their home jurisdictions, including Canada
- By: James Langton
- October 11, 2011 December 14, 2017
- 11:33
FINRA enhances BrokerCheck
New version is designed to provide investors with quicker, more intuitive access to advisors’ professional backgrounds
- By: James Langton
- October 11, 2011 December 14, 2017
- 11:33
ASC reciprocates bans imposed by OSC
OSC accepted settlement agreement in April
- By: IE Staff
- October 11, 2011 December 14, 2017
- 11:33
FINRA seniors hotline reports success in 2015
Report details best practices financial firms should consider implementing to protect seniors
- By: James Langton
- October 11, 2011 October 11, 2011
- 11:33
Basel proposes overhaul of banking supervision
Existing principles are being enhanced to strengthen supervisory practices and risk management
- By: James Langton
- October 11, 2011 October 11, 2011
- 11:33
FINTRAC fines EMD
Becksley Capital was found to have several deficiencies
- By: James Langton
- October 11, 2011 October 11, 2011
- 11:33
OSC grants relief to Credit Suisse Securities
Dually-licensed reps can serve Canadian retail clients
- By: James Langton
- October 11, 2011 October 11, 2011
- 11:33
Poloz to head BIS council for the Americas
The CCA comprises the governors of the central banks in the region
- By: James Langton
- October 11, 2011 October 11, 2011
- 11:33
FCA continues commitment to diversity
The U.K. financial regulator has set targets to ensure that its senior leadership reflects its continued commitment to diversity and inclusion
- October 11, 2011 October 11, 2011
- 11:33
OSC issues warning on Rosswell Group
Online firm is not registered to sell securities in Ontario
- By: IE Staff
- October 11, 2011 December 14, 2017
- 10:00
FAIR Canada calls for better leverage regulation
Advocacy group recommends full disclosure of commissions and other remuneration arising from leverage recommendations
- By: James Langton
- October 7, 2011 October 7, 2011
- 20:40
OSC seeks input on Maple Group takeover of TMX Group
Regulator seeking public comment on whether the proposal is in the public interest
- By: James Langton
- October 7, 2011 October 7, 2011
- 19:35
ASC launches contest to kick off investor education month
The goal is to encourage investors to use the ASC’s investor education, investing and fraud prevention resources
- By: IE Staff
- October 6, 2011 October 6, 2011
- 18:13
NSSC program promotes financial literacy in the classroom
Live Stock Adventure helps teach safe investing and financial literacy skills to middle school students
- By: IE Staff
- October 6, 2011 October 6, 2011
- 18:06
FINRA can’t sue to collect fines
U.S. court says regulator exceeded its power
- By: James Langton
- October 6, 2011 October 6, 2011
- 18:01
OSFI revises capital rules for P&C insurers
Regulator to postpone the implementation of FX risk margin until 2013
- October 5, 2011 October 5, 2011
- 13:35
U.S. regulator issues alert on public nontraded REITs
Sales pitches might play up high yields while glossing over the lack of liquidity, fees and other risks
- October 4, 2011 October 4, 2011
- 15:58
SROs can do more to foster competition: report
More can be done by the professions and government to strike the right balance between competition and regulation
- October 3, 2011 October 3, 2011
- 15:45