OFSI revises capital guideline for P&C insurers
Guideline introduces new capital ‘floor’
- By: James Langton
- November 11, 2010 November 11, 2010
- 15:21
Latest news in From the Regulators
Quebec bill would improve oversight of money services businesses
Legislation aims to protect investors, fight tax evasion
- By: James Langton
- November 10, 2010 November 10, 2010
- 17:15
BMO Nesbitt Burns fined $3.3 million in FMF settlement
OSC reprimands dealer for due diligence failings
- By: James Langton
- November 10, 2010 November 10, 2010
- 16:37
IIROC disciplines First Financial rep
Alberta man acted as an advisor without being registered as one
- By: IE Staff
- November 10, 2010 November 10, 2010
- 16:15
CIRC deal paves the way for Chinese insurers to invest in financial products on Canadian markets
Eight provincial regulators sign co-operation agreement with China’s insurance regulator
- By: IE Staff
- November 10, 2010 November 10, 2010
- 10:36
Global banking bailout created moral hazard, Carney says
Losses incurred in future crises must be borne by the institutions themselves
- By: Craig Wong, The Canadian Press
- November 9, 2010 November 9, 2010
- 15:10
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
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