MFDA proposes quarterly statements for all accounts
Change would conform with CSA rules and avoid confusion
- By: James Langton
- October 28, 2011 October 28, 2011
- 14:30
Latest news in From the Regulators
OSC sets dates for Maple TMX hearing
Submissions due Nov. 7
- By: James Langton
- October 28, 2011 October 28, 2011
- 13:00
OSC advisory panel wants greater say in policymaking
Investor advisory panel annual report proposes several steps that would expand its advocacy efforts
- By: James Langton
- October 28, 2011 October 28, 2011
- 11:30
Survey shows MFDA members lukewarm on merger with IIROC
Summer survey indicates an improvement in the level of satisfaction with the MFDA
- By: James Langton
- October 27, 2011 October 27, 2011
- 15:30
SEC settles with FINRA on alleged alteration of documents
Self-regulatory organization must undergo review of policies and procedures
- By: James Langton
- October 27, 2011 October 27, 2011
- 11:55
B.C. to publish annual reports on regulatory accountability
Reports will identify regulatory reform goals and objectives, accomplishments
- By: James Langton
- October 27, 2011 October 27, 2011
- 11:30
MSC settles with eight Crocus directors; no monetary penalties
Manitoba regulator says penalties would have been paid out of funds that could still be recovered by investors
- By: James Langton
- October 27, 2011 October 27, 2011
- 09:15
SEC adopts reporting rule for hedge fund advisors
Rule divides private fund advisors into two broad groups by size, and the amount of information they must report and the frequency of reporting
- By: James Langton
- October 26, 2011 October 26, 2011
- 16:20
Ex-Goldman director charged in hedge fund tipping case
Gupta charged with securities fraud
- By: James Langton
- October 26, 2011 October 26, 2011
- 12:30
OSFI revises capital rules for life insurers
The objective of these latest revisions is to adopt more appropriate risk-based guidance in several areas
- By: James Langton
- October 26, 2011 October 26, 2011
- 12:00
TSX lacked jurisdiction in CI shareholder vote, says OSC
The exchange’s jurisdiction is limited to transactions involving the issuance or potential issuance of securities
- By: James Langton
- October 25, 2011 October 25, 2011
- 15:15
FINRA fines UBS Securities US$12 million for failing to supervise short sales
Millions of short sale orders affected
- By: James Langton
- October 25, 2011 October 25, 2011
- 10:45
FSA fines Credit Suisse $9.55 million for poor controls
Systems were not up to the level customers are entitled to expect
- By: James Langton
- October 25, 2011 October 25, 2011
- 09:15
SEC fines dark pool for undisclosed trades
Pipeline agrees to pay $1 million to settle case
- By: James Langton
- October 24, 2011 October 24, 2011
- 13:20
IOSCO looking for new secretary general
Greg Tanzer returning to Australia
- By: James Langton
- October 24, 2011 October 24, 2011
- 13:10
CSA releases list of top investment scams
Common traps include misleading exempt market securities, energy investments
- October 24, 2011 October 24, 2011
- 11:00
Enforcement actions by state securities regulators surges: NASAA
2010 enforcement actions resulted in US$14.1 billion ordered returned to investors
- By: James Langton
- October 24, 2011 October 24, 2011
- 09:40
OSC moves to strengthen enforcement
Enhancements expected to improve information coming for the OSC and expedite the resolution of enforcement matters
- By: James Langton
- October 21, 2011 October 21, 2011
- 09:55
AMF sets dates for Maple TMX acquisition hearing
Two days of hearings scheduled for November
- By: James Langton
- October 21, 2011 October 21, 2011
- 08:20
MFDA to suspend performance reporting requirements
Delay would allow MFDA to harmonize with similar rules being proposed by the CSA
- By: James Langton
- October 20, 2011 October 20, 2011
- 15:35
NSSC issues sanctions in Jabez scheme
Sponagle, Hill fined $500,000 each
- By: IE Staff
- October 20, 2011 October 20, 2011
- 14:20
OSC to review IIROC panel decision
Panel found TD Securities didn’t fail in its supervisory duties, even though its employees were found to have repeatedly breached trading rules
- By: James Langton
- October 20, 2011 October 20, 2011
- 13:30
Regulators to keep close eye on high frequency trading
IOSCO report sets out guidance on regulatory issues raised by technological innovation
- By: James Langton
- October 20, 2011 October 20, 2011
- 11:00
IIROC AdvisorReports passes 60,000 mark in first year of use
Online service allows investors to check the background of more than 22,000 investment advisors
- By: IE Staff
- October 19, 2011 October 19, 2011
- 13:10
Regina broker made unsuitable recommendations: IIROC panel
Gareau to face penalty hearing
- By: IE Staff
- October 19, 2011 October 19, 2011
- 11:00