FINRA launches new securitized product tables
Tables will provide investors with insight into asset and mortgage-backed securities transaction data
- By: James Langton
- October 18, 2011 October 18, 2011
- 11:00
Latest news in From the Regulators
Basel Committee issues update on Basel III implementation
Report ranks each country’s progress
- By: James Langton
- October 18, 2011 October 18, 2011
- 09:30
Fed approves ‘living will’ rule for big US banks
Plans will set out bank’s strategy for rapid and orderly resolution in bankruptcy during times of financial distress
- By: James Langton
- October 17, 2011 October 17, 2011
- 16:15
Fund dealer fined $10,000
M. Hershberg Capital Ltd. has ceased operations
- By: IE Staff
- October 17, 2011 October 17, 2011
- 15:30
Berkshire Securities sanctioned for failing to supervise rep
Former IDA firm ordered to pay $130,000 penalty
- By: IE Staff
- October 17, 2011 October 17, 2011
- 15:05
Improving enforcement a key priority, regulators say
Provincial regulators are bringing more cases to criminal courts and seeking harsher sentences
- By: Megan Harman
- October 14, 2011 October 14, 2011
- 19:30
FSA and SEC host roundtable discussion on market structures
Extensive discussions on all aspects of high-frequency trading
- By: James Langton
- October 14, 2011 October 14, 2011
- 15:00
Drabinsky bid for bail denied
Livent co-founder seeks appeal with Supreme Court
- By: James Langton
- October 14, 2011 October 14, 2011
- 05:50
OSC denies Wi LAN bid to cancel Mosaid poison pill
Mosaid’s shareholder rights plan can stay in effect until Nov. 1
- By: The Canadian Press
- October 13, 2011 October 13, 2011
- 14:35
Basel Committee picks Australian as secretary general
Wayne Byres replaces Stefan Walter
- By: James Langton
- October 13, 2011 October 13, 2011
- 11:25
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
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