IIROC proposes change to governance by-laws
Amendments would allow the appointment of substitute directors for shorter periods
- By: James Langton
- February 6, 2011 December 14, 2017
- 13:34
Latest news in From the Regulators
Financial executives satisfied with OSFI supervision, regulation: survey
Regulator rated highly on contributing to public confidence.
- By: James Langton
- February 3, 2011 December 14, 2017
- 16:28
TD Ameritrade settles with SEC for US$10 million
Regulator alleges firm failed to prevent misrepresentations to investors regarding Reserve Yield Plus Fund
- By: IE Staff
- February 3, 2011 December 14, 2017
- 13:03
OSC to hear application from banned investment banker
Rankin looking to alter tipping settlement
- By: James Langton
- February 3, 2011 December 14, 2017
- 10:39
Impose fiduciary duty on all who provide financial advice: NASAA
Current fragmented standards fail to protect investors
- By: James Langton
- February 2, 2011 December 14, 2017
- 18:36
Wheatley to head replacement for UK’s Financial Services Authority
He will work with FSA to prepare for the transition to the new regulatory structure
- By: James Langton
- February 2, 2011 December 14, 2017
- 12:20
Credit Suisse Securities fined $150,000 for trading supervision failings
Deficiencies in trade supervision for artificial pricing remedied: IIROC panel
- By: IE Staff
- February 2, 2011 December 14, 2017
- 11:47
IOSCO report spells out principles for point of sale disclosure
Principles designed to assist regulators considering point of sale disclosure requirements
- By: James Langton
- February 2, 2011 December 14, 2017
- 10:08
Geller on MGA regulation: “More accountability”
- By: Lawrence Geller
- February 2, 2011 December 15, 2017
- 07:33
Ex Laurier Capital CEO sanctioned for firm’s compliance shortcomings
MFDA imposes three-year prohibition, $5,000 fine
- By: Megan Harman
- February 1, 2011 December 14, 2017
- 16:20
SEC files charges in US$33 million international microcap fraud
Regulator alleges scheme devised by Canadian citizen
- By: James Langton
- February 1, 2011 December 14, 2017
- 15:44
SEC approves FINRA all-public arbitration panel option
Change will give investors an additional choice in selecting their arbitrators when they file claims
- By: James Langton
- February 1, 2011 December 14, 2017
- 13:25
OSFI issues implementation plan for Basel III capital adequacy and liquidity requirements
New leverage ratio to be adopted
- By: James Langton
- February 1, 2011 December 14, 2017
- 10:01
SEC posting money market fund “shadow NAV” data
Information available on SEC website
- By: IE Staff
- January 31, 2011 December 14, 2017
- 16:41
TSXV oversight reviews find areas for improvement
ASC, BCSC will work with the exchange to ensure these issues are addressed
- By: James Langton
- January 31, 2011 December 14, 2017
- 14:33
Regulators approve implementation of order protection rule
Amendments designed to prevent trade-throughs
- By: James Langton
- January 30, 2011 December 14, 2017
- 13:01
ASC extends cease trade order against Aspen Springs Capital, Sundre Development
Commission staff investigating alleged illegal distribution and trading
- By: IE Staff
- January 27, 2011 December 14, 2017
- 14:00
MFDA won’t appeal BCSC proxy solicitation decision
Governance committee to review by-law amendments
- By: James Langton
- January 27, 2011 December 14, 2017
- 12:28
New IIROC panel to decide on sanctions for Credifinance Securities: OSC
Original panel’s reasoning found inadequate
- By: Megan Harman
- January 26, 2011 December 14, 2017
- 17:21
SEC proposes reporting for large hedge funds
The U.S. Securities and Exchange Commission proposed a rule Tuesday that would require advisors to hedge funds and other private funds to report certain information…
- By: James Langton
- January 25, 2011 December 14, 2017
- 17:46
SEC adopts ‘say on pay’ rule
Smaller firms get temporary exemption
- By: James Langton
- January 25, 2011 December 14, 2017
- 17:36
OSC orders New Life firms to disgorge $22.5 million
Life settlement firm distributed securities without registration
- By: Megan Harman
- January 25, 2011 December 14, 2017
- 17:22
Alberta fund salesman fined for selling products without permission
MFDA imposes five-year suspension, $40,000 fine
- By: IE Staff
- January 25, 2011 December 14, 2017
- 16:39
Merrill paying US$10 million fine to settle SEC fraud charges on trading
Source: The Associated PressMerrill Lynch on Tuesday agreed to pay a US$10 million fine to settle civil securities fraud charges by regulators who accused the…
- By: Marcy Gordon
- January 25, 2011 December 14, 2017
- 15:03
UK regulator considers tougher consumer-protection rules
Interventions could include banning products or prohibiting the sale of certain products to specific groups of customers
- By: James Langton
- January 25, 2011 December 14, 2017
- 10:13