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
Latest news in From the Regulators
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Supervisory testing, record keeping, and out of date compliance programs flagged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
IIROC releases anti-money laundering compliance guide
New guide replaces earlier version from the IDA
- By: James Langton
- October 18, 2010 October 18, 2010
- 15:26
NSSC issues permanent ban against Ontario company
Commission reciprocates MSC order against Tri Clean
- By: IE Staff
- October 18, 2010 October 18, 2010
- 10:15
New client disclosure requirements coming for dealers: OSC
Report spells out the results of compliance reviews for fiscal 2010
- By: IE Staff
- October 17, 2010 October 17, 2010
- 10:33
IOSCO forms task force on OTC derivatives regulation
Task force will first study exchange and electronic platform trading
- By: James Langton
- October 17, 2010 October 17, 2010
- 10:08
OSC reveals new sanctions against Landen
Order intended to protect investors from future unfair conduct by former Agnico exec
- By: Megan Harman
- October 13, 2010 October 13, 2010
- 16:37
MFDA fines, bans B.C. fund salesman
Lipski admits to rule violations, misleading investigators
- By: IE Staff
- October 13, 2010 October 13, 2010
- 14:15
More effort needed to attract venture capital to New Brunswick: study
NBSC looking for additional consultation
- By: James Langton
- October 13, 2010 October 13, 2010
- 10:29
Majority of Canadian investors feel they will have enough money for retirement: CSA survey
Investors get the message on the importance of research
- By: IE Staff
- October 12, 2010 October 12, 2010
- 11:38
IIROC plain language revamp prompts proposed rule changes for dealing with clients
Changes would affect rules dealing with suitability, sales practices and complaint handling
- By: James Langton
- October 12, 2010 October 12, 2010
- 09:27
BCSC orders three former Panterra directors to pay $360,000 for defrauding company
Heaviest sanctions fall on Tamburrino
- By: IE Staff
- October 12, 2010 October 12, 2010
- 08:34