Lack of a national securities regulator an embarrassment, Flaherty says
Alberta and Quebec are challenging the constitutionality of national watchdog
- By: Lauren Krugel, The Canadian Press
- September 16, 2010 September 16, 2010
- 20:55
Latest news in From the Regulators
SEC settles with ex-Biovail comptroller
Miszuk consents to US$75,000 penalty
- By: James Langton
- September 15, 2010 September 15, 2010
- 15:48
OSC warns investors of advance fee scheme
Featherstone and Bellman reps contacting York Rio investors
- By: IE Staff
- September 15, 2010 September 15, 2010
- 11:20
Bank reform could result in added costs, downsizing, but payoff worth it: Carney
Reforms will benefit Canada’s economy
- By: Julian Beltrame
- September 14, 2010 September 14, 2010
- 11:40
FINRA reaches deal to sell OTCBB assets
Rodman transaction expected to close in 2011
- By: James Langton
- September 14, 2010 September 14, 2010
- 10:54
OSFI to give banks more leeway over excess capital
Less strict approach follows in the wake of new Basel capital rules
- By: James Langton
- September 14, 2010 September 14, 2010
- 10:26
Ex-TD Waterhouse rep sanctioned for forging client signatures
Dean agrees to pay $40,000 in fines and costs
- By: IE Staff
- September 13, 2010 September 13, 2010
- 16:33
Alberta, Quebec united in fight against national securities regulator
Other provinces should not feel compelled to sign an agreement with Ottawa by the end of the month, Morton says
- By: Lauren Krugel, The Canadian Press
- September 13, 2010 September 13, 2010
- 15:50
Governments, financial sector team up launch risk management institute
Global Institute in Risk Management intended to boost Canada’s financial services reputation
- By: IE Staff
- September 13, 2010 September 13, 2010
- 15:08
FINRA fines Trillium Brokerage US$1 million
U.S. regulator fines, suspends 11 at company
- By: James Langton
- September 13, 2010 September 13, 2010
- 10:52
Global regulators agree to tighten bank capital rules
Capital reforms will be presented to the G20 Leaders summit in November
- By: James Langton
- September 13, 2010 September 13, 2010
- 07:42
SEC brings more stocks under circuit breaker program
U.S. regulator also clarifies process for breaking erroneous trades
- By: James Langton
- September 12, 2010 September 12, 2010
- 15:36
SRO dealers get exemption from new disclosure requirements
Exemption applies for one year, or until SROs’ CRM rules take effect
- By: James Langton
- September 12, 2010 September 12, 2010
- 14:21
BCSC proposes new disclosure rules for exempt market investments
More information would strengthen investor protection: Leong
- By: IE Staff
- September 9, 2010 September 9, 2010
- 14:53
IIROC recommends changes in response to May’s “flash crash”
Dealers should provide reps with guidance on the use of stop loss orders
- By: James Langton
- September 9, 2010 September 9, 2010
- 14:25
Firm failed to notify FSA of an SEC investigation
- By: James Langton
- September 9, 2010 September 9, 2010
- 09:16
“Flash crash” may have caused investors to flee markets: Schapiro
Regulators must take more steps in response to May incident
- By: James Langton
- September 7, 2010 September 7, 2010
- 16:02
MFDA concludes disciplinary hearing against Ontario rep
Death halts McBride proceedings
- By: IE Staff
- September 6, 2010 September 6, 2010
- 10:00
IIROC permanently bans ex-iForum securities rep
Tardiff ordered to pay $453,000 by Quebec’s AMF
- By: IE Staff
- September 2, 2010 September 2, 2010
- 14:45
U.S. Fed chairman says large banks must be shut down if they threaten the financial system
Bailing out Lehman would have saddled U.S. taxpayers with billions of dollars in losses, Bernanke says
- By: Marcy Gordon
- September 2, 2010 September 2, 2010
- 13:25
ASC sanctions Kustom Design companies and Synergy Group for illegal trading,
Firms, men ordered to pay $500,000
- By: IE Staff
- September 2, 2010 September 2, 2010
- 13:02
U.S. regulators defend actions before Lehman collapse, Wachovia takeover
Ex-Lehman CEO blames rumour, regulators
- By: Marcy Gordon
- September 1, 2010 September 1, 2010
- 11:20
New members sought for OSC Continuous Disclosure Advisory Committee
Applications due Sept. 30
- By: IE Staff
- September 1, 2010 September 1, 2010
- 09:01
CFTC releases final rules regarding retail forex transactions
The U.S. Commodity Futures Trading Commission announced Tuesday that it has published new rules strengthening its oversight of one of biggest trouble spots under its…
- By: James Langton
- August 31, 2010 August 31, 2010
- 14:55