IIROC proceedings against Deutsche Bank Securities on hold pending OSC decision
ABCP hearing had been set to resume in April
- By: IE Staff
- January 13, 2011 December 14, 2017
- 14:14
Latest news in From the Regulators
OSC announces Continuous Disclosure Advisory Committee members
The Ontario Securities Commission Thursday announced the new membership of the Continuous Disclosure Advisory Committee for 2011-2013.The committee advises OSC staff on a range of…
- January 13, 2011 December 14, 2017
- 12:24
Basel tightens capital adequacy requirements
New requirements ensure that all classes of capital fully absorb losses when a bank is failing
- By: James Langton
- January 13, 2011 December 14, 2017
- 11:12
NBSC bans Fredericton businesswoman, Shaker Management
Real estate investment plan that led to significant financial losses
- By: IE Staff
- January 13, 2011 December 14, 2017
- 10:52
Strong loonie reflects Canada’s “sound” fiscal situation, Flaherty says
Canada to move quickly on Basel III implementation
- By: Lee-Anne Goodman
- January 12, 2011 December 14, 2017
- 21:22
Canadian lawyer settles insider trading case with SEC
Judgment orders Macdonald to pay disgorgement of US$810,000.
- By: James Langton
- January 12, 2011 December 14, 2017
- 14:07
MFDA proxy process flawed, BCSC rules
By-law changes passed during October 2009 special meeting must be set aside
- By: James Langton
- January 12, 2011 December 14, 2017
- 08:05
National securities regulator “alive” despite provincial opposition, Davies says
CSTO continuing work to build new regulator
- By: James Langton
- January 11, 2011 December 14, 2017
- 12:31
UK banks fined $4.33 million for poor complaint handling
RBS, Natwest settle with Financial Services Authority
- By: James Langton
- January 11, 2011 December 14, 2017
- 11:41
ASC permanently bans ex Scotia Securities fund salesperson
Sampson admits misappropriation of client funds
- By: IE Staff
- January 10, 2011 December 14, 2017
- 17:12
High household debt a threat to economic recovery, says Bank of Canada
Central bank urges borrowers and lenders to act responsibly
- By: Julian Beltrame
- January 10, 2011 December 14, 2017
- 16:15
SEC files more charges in Galleon hedge fund case
Four charged in insider probe
- By: James Langton
- January 10, 2011 December 14, 2017
- 14:15
OSC opens dialogue on shareholder democracy issues
Regulators seeks input on executive compensation, the election of directors, and proxy voting
- By: James Langton
- January 10, 2011 December 14, 2017
- 12:44
OSC orders $2.1 million in fines for oil & gas scheme
Four men facing penalties
- By: Megan Harman
- January 9, 2011 December 14, 2017
- 13:17
IIROC publishes final version of proposed Client Relationship Model reforms
Rule changes address relationship disclosure, conflicts of interest, suitability and performance reporting
- By: James Langton
- January 9, 2011 December 14, 2017
- 11:10
OSC allows hostile Baffinland bid in last minute deal
Nunavut Iron Ore will amend its plan to issue warrants to shareholders
- By: Craig Wong, The Canadian Press
- January 5, 2011 December 14, 2017
- 23:09
Court refuses to strike down lawsuit filed against MFDA, SFSC
Saskatchewan fund salesman alleges illegal interference with his business
- By: James Langton
- January 4, 2011 December 14, 2017
- 12:17
UK government introduces bank levy
Funds raised will go towards reducing UK budget deficit
- By: James Langton
- January 4, 2011 December 14, 2017
- 11:01
Two firms seek exemptions to OSC clearing agency requirements
Two firms are seeking exemptions from the requirement that clearing agencies be recognized by the Ontario Securities Commission.On March 1, 2011, changes to securities legislation…
- By: James Langton
- December 23, 2010 December 14, 2017
- 16:47
OSFI revises capital adequacy requirements for life insurers
Changes take effect Jan. 1
- By: James Langton
- December 23, 2010 December 14, 2017
- 15:28
OSFI releases revised MCT guideline for P&C insurers
Regulators and industry to work together to ease the implementation of an audit requirement
- By: James Langton
- December 22, 2010 December 14, 2017
- 13:20
NBSC issues cease-trade order against Texas-based firm, two of its directors
Tycoon Energy not registered in the province
- By: IE Staff
- December 22, 2010 December 14, 2017
- 12:28
AMF seeks $376,000 fine in alleged illegal distribution scheme
Investors out $636,000
- By: IE Staff
- December 22, 2010 December 14, 2017
- 11:25
Court thwarts IPC’s attempt to recover client compensation costs from advisor
Principal-agent agreement signed with previous dealer doesn’t apply, court rules
- By: James Langton
- December 22, 2010 December 14, 2017
- 09:02
Investment club operator fined $15,000 for trading securities without registration
OSC settlement imposes eight year ban on Tulsiani
- By: Megan Harman
- December 21, 2010 December 14, 2017
- 16:07