CSA proposes regulations on OTC derivatives
Measures intended to strengthen Canada’s financial markets and manage specific risks related to over-the-counter derivatives
- By: James Langton
- November 2, 2010 November 2, 2010
- 11:12
Latest news in From the Regulators
Nova Scotia introduces changes to Securities Act
Amendments reflect the adoption of IFRS
- By: IE Staff
- November 2, 2010 November 2, 2010
- 09:30
CRA revokes the registered status of Biathlon Canada
Athletic association issued $25.9 million in donation receipts for ‘abusive transactions’
- By: James Langton
- October 31, 2010 October 31, 2010
- 13:01
Ex-Dundee fund salesman fined $120,000
Majdoub sold $840,000 of investment products that weren’t approved by fund dealer
- By: Megan Harman
- October 31, 2010 October 31, 2010
- 11:47
Regulators approve changes to MFDA’s rules regarding registration
Some amendments put on hold
- By: James Langton
- October 31, 2010 October 31, 2010
- 11:19
OSC weighs in on closed-end to mutual fund conversions
Fund with a built-in conversion feature are expected to comply with mutual fund disclosure rules
- By: James Langton
- October 31, 2010 October 31, 2010
- 11:07
OSFI proposes changes to seg fund guarantee capital requirements
Comments on the draft are due by Nov. 26
- By: James Langton
- October 31, 2010 October 31, 2010
- 09:53
OSC chairman notes progress toward national securities regulator
Wilson’s term end October 31
- By: IE Staff
- October 27, 2010 October 27, 2010
- 16:18
Canada’s banks too small to impact global financial system: Dickson
Stronger disclosure and market discipline necessary to prevent bank failures
- By: James Langton
- October 27, 2010 October 27, 2010
- 15:28
Regulators offer additional guidance on environmental disclosure
The Canadian Securities Administrators (CSA) Wednesday published a guide to help reporting issuers meet existing environmental disclosure requirements.CSA Staff Notice 51-333 Environmental Reporting Guidance is…
- By: IE Staff
- October 27, 2010 October 27, 2010
- 11:31
IOSCO proposes regulatory oversight principles for ‘dark liquidity’
Principles address concerns over price discovery, market fragmentation and potential risks to market integrity
- By: James Langton
- October 27, 2010 October 27, 2010
- 10:02
Deutsche Bank Securities motion dismissed: IIROC
ABCP disciplinary proceedings adjourned until April 2011
- By: James Langton
- October 26, 2010 October 26, 2010
- 16:50
Financial industry, regulators facing unprecedented rule-making task: SIFMA
Focus must be on safeguarding financial system without constraining economic growth and job creation
- By: James Langton
- October 26, 2010 October 26, 2010
- 16:25
MDFA to boost size of contingency fund
Increase to be phased in over seven years
- By: James Langton
- October 26, 2010 October 26, 2010
- 14:12
NSSC, Florida dealer reach settlement over unregistered trading
TradeStation maintained futures accounts for N.S. investors
- By: IE Staff
- October 26, 2010 October 26, 2010
- 12:28
Saskatchewan regulator to hear BHP challenge of Potash Corp. ‘poison pill’ defence
Hearing scheduled for November 8
- By: The Canadian Press
- October 26, 2010 October 26, 2010
- 11:20
AMF launches financial education initiatives
Quebec regulator poised to relaunch website
- By: IE Staff
- October 26, 2010 October 26, 2010
- 10:49
Wyoming firm fined for bilking US$15.5 million from Canadian, U.S. investors
Berkshire Resources offered fraudulent ‘units of participation’
- By: James Langton
- October 25, 2010 October 25, 2010
- 15:45
B.C., Alberta regulators team up on conference to discuss Western Canada’s vencap markets
Capital Ideas 2010 in Vancouver
- By: IE Staff
- October 25, 2010 October 25, 2010
- 13:09
IIROC compliance report finds room for improvement
Supervisory testing, record keeping, and out of date compliance programs flagged
- By: James Langton
- October 25, 2010 October 25, 2010
- 12:05
Insider reporting deadline to be reduced to five days: AMF
Penalties for late filing on the horizon
- By: James Langton
- October 24, 2010 October 24, 2010
- 13:08
Harper signs deal to increase banking co-operation with Switzerland
Measures would allow CRA to ask Swiss for info about Canadian taxpayers suspected of hiding income
- By: Jennifer Ditchburn
- October 24, 2010 October 24, 2010
- 11:10
Report highly critical of national securities regulator
Existing provincial regulatory system suffering
- By: James Langton
- October 19, 2010 October 19, 2010
- 13:45
Report to G20 highlights Basel Committee regulatory reforms
Committee to concentrate efforts on implementation of Basel III
- By: IE Staff
- October 19, 2010 October 19, 2010
- 13:24
SEC proposes rules on votes on executive compensation
‘Golden parachute’ arrangements to face shareholder scrutiny
- By: IE Staff
- October 18, 2010 October 18, 2010
- 16:14