IIROC proposes new policy for breaking trades
‘Flash crash’ revealed that current rules are not sufficiently clear or transparent
- By: James Langton
- December 16, 2010 December 14, 2017
- 11:54
Latest news in From the Regulators
Naqui mismarked trading positions, concealed losses
- By: James Langton
- December 16, 2010 December 14, 2017
- 11:32
SEC considers disclosure rules for “conflict minerals”
The U.S. Securities and Exchange Commission proposed several rules Wednesday that will ramp up the disclosure obligations on both resource companies and firms that use…
- By: James Langton
- December 16, 2010 December 14, 2017
- 09:02
UK regulator committed to financial advice reform, FSA chief says
The UK’s Financial Services Authority is defending its plans to reform regulation in the retail investment business.In a letter to the chair of the Commons…
- By: James Langton
- December 16, 2010 December 14, 2017
- 08:54
OSC issues update on alleged advance fee scheme
Regulator identifies more firms that appear to be connected Global and Crown
- By: IE Staff
- December 15, 2010 December 14, 2017
- 16:06
BCSC imposes $47 million in penalties for misconduct
Panel says Kim “set out to steal investors’ money”
- By: IE Staff
- December 15, 2010 December 14, 2017
- 15:43
Regulators reject Alpha’s planned order
Revised proposal published for comment
- By: James Langton
- December 15, 2010 December 14, 2017
- 12:30
OSFI issues advisory on seg fund guarantee capital requirements
Revised criteria better capture risks in current universe of seg funds
- By: James Langton
- December 14, 2010 December 14, 2017
- 16:51
AMF seeking $810,000 fine, prison term against Montreal man
Regulator wants fine to serve as a deterrent
- December 14, 2010 December 14, 2017
- 14:41
Firms must improve disclosure of going concern risks: OSC
Review finds incomplete disclosure to investors
- By: IE Staff
- December 14, 2010 December 14, 2017
- 11:28
MFDA fines ex Peak fund salesman $120,000
Burner failed to reimburse clients for DSCs on fund trades
- By: Megan Harman
- December 14, 2010 December 14, 2017
- 07:24
Transition office starts work on rules for national securities regulator
CSTO intends to adapt existing harmonized provincial rules
- By: James Langton
- December 13, 2010 December 14, 2017
- 16:35
OSFI seeks comment on proposed changes to capital rules for P&C insurers
Comments due Jan. 14
- By: James Langton
- December 13, 2010 December 14, 2017
- 14:51
AMF files suit against fund salesman for illegal sale of securities
Quebec regulator seeking $2.9 million fine
- By: IE Staff
- December 13, 2010 December 14, 2017
- 12:56
AMF files suit against man who illegally acted as a securities dealer
Regular seeking $258,000, three times the minimum fine
- By: IE Staff
- December 12, 2010 December 14, 2017
- 10:45
UK raises rate of planned bank tax
Rate for 2011 will be 0.05%
- By: James Langton
- December 9, 2010 December 14, 2017
- 11:42
Foreign exchange fraud spotlighted at N.B. white collar crime symposium
Foreign exchange fraud will be discussed by law enforcement and regulatory agencies at the fourth annual White Collar Crime Symposium in Saint John, N.B. on…
- By: IE Staff
- December 9, 2010 December 14, 2017
- 11:09
AMF seeks more than $3 million in fines for illegal distributions
260 charges filed against Véhicules Nemo, individuals
- By: James Langton
- December 8, 2010 December 14, 2017
- 16:48
Regulation and supervision are critical and should not be watered down, says Canada’s chief banking regulator
Dickson skeptical of publicly reported stress tests
- By: James Langton
- December 8, 2010 December 14, 2017
- 14:07
Ottawa, Saskatchewan release proposals to improve Saskatchewan Pension Plan
Ontario passes bill to further pension reform
- By: James Langton
- December 7, 2010 December 14, 2017
- 16:39
MFDA spells out proficiency requirements
Notice sets out requirements for salespeople, compliance officers and branch managers
- By: James Langton
- December 7, 2010 December 14, 2017
- 15:19
Court dismisses appeal by former trader regarding IIROC jurisdiction
IIROC awarded $15,000 in costs
- By: IE Staff
- December 6, 2010 December 14, 2017
- 15:58
MFDA members approve CRM proposals
Deadlines set for firms to meet new requirements
- By: James Langton
- December 6, 2010 December 14, 2017
- 07:56
Ex Investors Group fund salesman ordered to pay $45,000 penalty
Vilfort misappropriated funds, failed to return client information: MFDA panel
- By: IE Staff
- December 5, 2010 December 14, 2017
- 13:26
CSA extends registration exemption for mortgage investment firms
Regulators say they need more time to study the issue
- December 5, 2010 December 14, 2017
- 11:42