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
Latest news in From the Regulators
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
Ottawa wants Carney appointed world’s top banking regulator
Flaherty says he has taken steps to promote Bank of Canada governor as the next head of the Financial Stability Board
- By: Julian Beltrame
- October 3, 2011 October 3, 2011
- 15:10
OSC director grants rep a “second chance” at registration
Alexander Adams made an “honest mistake” on his application
- October 2, 2011 October 2, 2011
- 15:15
Former Norbourg execs get eight years each in $115 million fraud case
Jean Cholette and Serge Beugre were each found guilty last March of more than 100 charges
- By: The Canadian Press
- October 2, 2011 October 2, 2011
- 15:10
Deutsche Bank Securities fails to halt IIROC hearing
OSC says firm could still bring a motion for a stay at a later stage, or seek a review of any final decision in the…
- October 2, 2011 October 2, 2011
- 13:55
SEC issues alert on master/sub-account risks
Account structures could be used to facilitate a variety of financial crimes
- September 30, 2011 September 30, 2011
- 07:42