Goldman fined US$650,000 for failing to disclose SEC probe
Firm did not have adequate supervisory procedures and systems: FINRA
- By: IE Staff
- November 9, 2010 November 9, 2010
- 14:55
Latest news in From the Regulators
OSC to hear proposed settlement with BMO Nesbitt Burns
Dealer faces sanctions over FMF due diligence
- By: James Langton
- November 9, 2010 November 9, 2010
- 08:17
SEC approves new rule blocking market maker ‘stub quotes’
Ban reduces the risk that trades will be executed at irrational prices
- By: James Langton
- November 8, 2010 November 8, 2010
- 12:10
OSC warns investors of advance fee scheme
Global, Crown reps impersonating OSC staff
- By: IE Staff
- November 7, 2010 November 7, 2010
- 12:42
Fed creates financial stability office
Liang named director
- By: James Langton
- November 4, 2010 November 4, 2010
- 15:16
N.S. regulator settles with former Knowledge House executive
Courtney fined for insider trading violations
- By: IE Staff
- November 4, 2010 November 4, 2010
- 13:01
Biovail founder appeals OSC ruling that he acted contrary to public interest
Court asked to set aside ruling
- By: David Paddon
- November 3, 2010 November 3, 2010
- 15:00
SEC bans ‘unfiltered’ access to markets
New rule requires brokers and dealers to have risk controls in place before providing their customers with access to the market
- By: James Langton
- November 3, 2010 November 3, 2010
- 14:34
BCSC bans Victoria woman for five years for violating securities laws
Beecroft helped raise fonds in shipwreck salvage investment scheme
- By: IE Staff
- November 3, 2010 November 3, 2010
- 13:20
Incoming OSC chief outlines his priorities
Committee approves Wetston appointment
- By: James Langton
- November 2, 2010 November 2, 2010
- 13:46
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
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