FINRA elects seven new governors to its board
Regulator also approves proxy proposals addressing several issues
- By: James Langton
- August 15, 2010 August 15, 2010
- 15:14
Latest news in From the Regulators
MFDA proposes changes to capital requirements
Amendments aim to harmonize requirements with provincial registration rules
- By: James Langton
- August 15, 2010 August 15, 2010
- 15:02
U.S. regulators update best practices for firms serving senior clients
Firms must be mindful of the concerns in dealing with senior investors, regulators say
- By: James Langton
- August 15, 2010 August 15, 2010
- 13:24
IOSCO lays out principles for direct access to markets
Direct access presents risks to markets; could impact market integrity, group says
- By: James Langton
- August 15, 2010 August 15, 2010
- 09:23
FINRA fines Morgan Stanley US$800,000 for failure to disclose conflicts of interest
Equity research reports failed to disclose accurate information about the relationships with the companies covered
- By: James Langton
- August 10, 2010 August 10, 2010
- 14:05
Norshield execs fined $4.3 million for misleading investors about fund’s value
OSC orders lifetime trading ban for Xanthoudakis and Smith
- By: The Canadian Press
- August 9, 2010 August 9, 2010
- 19:00
Top investor traps include leveraged ETFs, affinity fraud
Investors frustrated with low interest rates are susceptible to fraud, NASAA warns
- By: IE Staff
- August 3, 2010 August 3, 2010
- 11:00
IASB proposes overhaul of insurance accounting practices
Changes could lead to greater volatility in insurers’ key financial measures
- By: Megan Harman
- August 2, 2010 August 2, 2010
- 11:24
EU regulators propose measures to improve securities markets’ functioning, transparency
More study necessary on the risks of high frequency trading, CESR says
- By: James Langton
- July 29, 2010 July 29, 2010
- 13:48
Britain’s FSA cracks down on financial industry compensation
More than 2,500 firms to be covered by regulatory code
- By: James Langton
- July 29, 2010 July 29, 2010
- 10:23
OSFI considers new capital requirements for seg funds
More robust and risk-sensitive requirements are needed, regulator says
- By: James Langton
- July 29, 2010 July 29, 2010
- 09:44
ASC cease trades individuals, firms for allegedly distributing securities illegally
Order in effect until August 7
- By: IE Staff
- July 28, 2010 July 28, 2010
- 15:33
SEC seeks comment on fiduciary standards for dealers, advisors
U.S. regulator to take public comment before adopting rules
- By: IE Staff
- July 27, 2010 July 27, 2010
- 14:41
Appeal court calls on BCSC to review Golden Capital decision
Regulator focused on IIROC’s conduct rather than Golden’s, court rules
- By: James Langton
- July 27, 2010 July 27, 2010
- 10:45
Basel overseers reach agreement on bank capital rules
Some changes made to appease banking industry
- By: James Langton
- July 26, 2010 July 26, 2010
- 15:04
Self-directed RRSP promoter guilty of orchestrating a fraud of over $3 million
Quebec man’s schemes enabled 152 taxpayers to avoid reporting a total of $3,292,050
- By: The Associated Press
- July 26, 2010 July 26, 2010
- 12:10
UK government seeks input on financial regulation overhaul
Legislation to create new regulatory authorities expected in the current Parliamentary session
- By: James Langton
- July 26, 2010 July 26, 2010
- 10:06
ASC finds illegal trades and distributions by Calgary-based Delta 3 Capital
Panel calls investment program “amateurish venture”
- By: IE Staff
- July 25, 2010 July 25, 2010
- 13:00
Issuers are improving disclosure on IFRS transition: CSA
More improvements should be made as 2011 transition approaches
- By: IE Staff
- July 25, 2010 July 25, 2010
- 11:03
OSC to pre-screen settlement agreements
New rule allows OSC staff and and respondents to appear before a panel in camera prior to a public hearing
- By: James Langton
- July 22, 2010 July 22, 2010
- 07:22
FINRA fines Deutsche Bank Securities US$7.5 million
Firm misrepresented subprime data
- By: James Langton
- July 21, 2010 July 21, 2010
- 16:17
ASC finds Alberta investment consultant violated securities laws
Smylski provided investment advice without being registered
- By: IE Staff
- July 20, 2010 July 20, 2010
- 13:58
Regulators approve changes to MFDA client account, reporting rules
Amendments partly represent MFDA’s implementation of the Client Relationship Model
- By: James Langton
- July 18, 2010 July 18, 2010
- 15:28