Extend fiduciary duty to broker-dealers: NASAA
Public is confused about the distinction between investment advisors and broker-delears
- By: James Langton
- August 31, 2010 August 31, 2010
- 14:51
Latest news in From the Regulators
IIROC compliance reviews uncover deficiencies in disclosure, due diligence
Reviews focus on new products and principal-protected notes
- By: James Langton
- August 31, 2010 August 31, 2010
- 14:19
OSC names members of Investor Advisory Panel
Seven-member panel to meet in September
- By: James Langton
- August 31, 2010 August 31, 2010
- 10:20
IIROC makes it easier for investors to access broker background information
AdvisorReport online resource launched
- By: IE Staff
- August 30, 2010 August 30, 2010
- 13:10
Basel Committee issues guidance on supervision of microfinance activities
Guidance will assist supervisors in applying the core principles
- By: James Langton
- August 30, 2010 August 30, 2010
- 12:29
IIROC proposals aim to harmonzie regulatory financial reporting standards with IFRS
Regulator seeks comment on proposals
- By: James Langton
- August 29, 2010 August 29, 2010
- 13:19
Two ATSs granted exemptions for changes to their fee structures
Tri-Act, Liquidnet get relief from 45-day filing requirement
- By: James Langton
- August 29, 2010 August 29, 2010
- 13:08
SEC makes it easier for shareholders to nominate directors
New rules require companies to include the nominees of significant, long-term shareholders
- By: James Langton
- August 25, 2010 August 25, 2010
- 16:05
BMO Nesbitt Burns fined $250,000
Investment dealer failed to make reasonable efforts to connect to the Omega ATS protected marketplace.
- By: Megan Harman
- August 25, 2010 August 25, 2010
- 15:54
IIROC proposes increasing arbitration program award limit to $500,000
Other changes would allow claimants to opt to eliminate arbitrator’s discretion to award costs
- By: Megan Harman
- August 25, 2010 August 25, 2010
- 11:31
SEC charges two with insider trading in Potash Corp.
Spanish analysts booked profits of nearly US$1.1 million
- By: James Langton
- August 25, 2010 August 25, 2010
- 10:25
FSA calls for tougher trading rules for banks
Financial crisis highlighted need for change
- By: James Langton
- August 25, 2010 August 25, 2010
- 09:14
MFDA Policy Advisory Committee welcomes new members
PAC provides advice on regulatory and policy matters
- By: IE Staff
- August 24, 2010 August 24, 2010
- 14:19
MFDA fines Excel Financial
Regulatory breaches include failure to supervise the trading activity
- By: Megan Harman
- August 23, 2010 August 23, 2010
- 16:00
Advisors must abide by same rules as all telemarketers: CRTC
Decision won’t curtail all communications between brokers and clients
- By: James Langton
- August 22, 2010 August 22, 2010
- 13:20
IIROC AGM set for Sept. 15
Members to consider financial statements, elect directors
- By: IE Staff
- August 22, 2010 August 22, 2010
- 09:26
Ontario court dismisses Vitug’s appeal of IIROC penalty
Ex-broker must pay $350,000 fine
- By: IE Staff
- August 22, 2010 August 22, 2010
- 09:23
Tougher bank rules would produce benefits: Bank of Canada
Working with other countries to develop stronger international capital and liquidity standards in Canada’s interest, Carney says
- By: James Langton
- August 18, 2010 August 18, 2010
- 12:54
Swiss banking oversight chief resigns after criticism for close links with UBS
Haltiner will leave FINMA at the end of the year
- By: IE Staff
- August 18, 2010 August 18, 2010
- 09:35
Benefits of increased capital and liquidity requirements for banks outweigh costs, regulators say
Basel Committee assessment finds clear net long term economic benefits
- By: James Langton
- August 18, 2010 August 18, 2010
- 08:55
Ontario court approves plan to eliminate Magna dual class share structure
Stronach to receive $1 billion in cash and shares
- By: The Canadian Press
- August 17, 2010 August 17, 2010
- 10:52
Vancouver broker banned for submitting false PFPC results
IIROC orders Lohrisch to pay $67,000 in fines and costs
- By: Megan Harman
- August 17, 2010 August 17, 2010
- 09:50
N.S. Securities Commission settles with Medmira
Firm to pay $125,000 administrative penalty
- By: IE Staff
- August 17, 2010 August 17, 2010
- 08:59
Ontario court to rule Tuesday on controversial Magna share buyout plan
Controversial deal worth more than $1 billion
- By: Kristine Owram
- August 17, 2010 August 17, 2010
- 07:14
IIROC suspends Magna Partners Ltd.
Toronto firm ordered to cease dealing with the public
- By: IE Staff
- August 16, 2010 August 16, 2010
- 11:03