Bank of Canada plans changes to SLF credit rating requirements
Central bank contributing to international efforts to review the role and use of external credit ratings
- By: James Langton
- July 18, 2010 July 18, 2010
- 15:15
Latest news in From the Regulators
Basel Committee reports progress on regulatory reform package
Group issues proposal on adopting countercyclical capital buffers
- By: James Langton
- July 16, 2010 July 16, 2010
- 08:08
Goldman Sachs agrees to settle civil fraud charges with SEC for US$550 million
Wall Street giant to pay fine and compensation to investors
- By: James Langton
- July 15, 2010 July 15, 2010
- 15:47
MFDA accepts settlement with Worldsource Financial
Dealer fined $50,000 for compliance deficiencies
- By: IE Staff
- July 15, 2010 July 15, 2010
- 15:25
U.S. Congress OKs Wall Street crackdown
Bernanke welcomes passage of reform legislation
- By: James Langton
- July 15, 2010 July 15, 2010
- 15:14
FINRA warns investors of social media-linked Ponzi schemes
Regulator turns to Google to combat high-yield investment programs
- By: James Langton
- July 15, 2010 July 15, 2010
- 12:57
BCSC panel finds three former Panterra directors committed fraud
Directors’ behaviour ‘the kind of conduct that brings the reputation of venture markets into disrepute’, regulator says
- By: IE Staff
- July 14, 2010 July 14, 2010
- 16:24
SEC mulls changes to proxy voting systems
Proposed changes would make the system more transparent
- By: IE Staff
- July 14, 2010 July 14, 2010
- 16:15
FINRA to make additional info about U.S. brokers, former brokers publicly available
Enhancements to BrokerCheck will benefit investors
- By: James Langton
- July 13, 2010 July 13, 2010
- 16:28
MFDA bans ex-Scotia Securities fund salesperson
Sampson admits misappropriation of client funds
- By: IE Staff
- July 13, 2010 July 13, 2010
- 15:35
Blueprint for Canadian Securities Regulatory Authority released
CSTO sets out timelines and details for July 2012 launch of single securities regulator
- By: James Langton
- July 13, 2010 July 13, 2010
- 14:10
Turner outlines shift in philosophy for UK regulator
Regulator willing to intervene to protect consumers
- By: James Langton
- July 13, 2010 July 13, 2010
- 11:37
CSA criticized for slow pace of mutual fund disclosure reform
FAIR Canada disappointed with ‘glacial pace’ of POS disclosure implementation
- By: James Langton
- July 12, 2010 July 12, 2010
- 06:40
CSA generally pleased with MFDA performance: report
Oversight review recommends changes to compliance operations
- By: James Langton
- July 11, 2010 July 11, 2010
- 14:35
BCSC execs get raises in fiscal 2010
Compensation for Leong just under $500,000
- By: James Langton
- July 11, 2010 July 11, 2010
- 14:10
More continuous disclosure reviews completed in fiscal 2010: CSA
IFRS reviews keep regulators busy
- By: IE Staff
- July 11, 2010 July 11, 2010
- 11:50
Tougher regulation of scholarship plans needed: FAIR Canada
Improved disclosure, stronger suitability requirements needed
- By: James Langton
- July 8, 2010 July 8, 2010
- 16:41
IIROC names new head of enforcement
Kehoe succeeds Popovic
- By: James Langton
- July 8, 2010 July 8, 2010
- 10:45
IIROC fines former Toronto rep $25,000
Esson received shares from a client with no indication of paying for them, panel finds
- By: IE Staff
- July 5, 2010 July 5, 2010
- 14:33
Citi, RBC, Wachovia fulfilled auction-rate settlement terms: SEC
U.S. regulator won’t seek any deferred penalties
- By: James Langton
- July 2, 2010 July 2, 2010
- 07:38
ETFs, more stocks to be included in expanded circuit breaker program: SEC
U.S. regulators proposed to add Russell 1000 Index securities and selected exchange-traded funds
- By: James Langton
- July 2, 2010 July 2, 2010
- 07:28
Quebec regulator to use ABCP penalty funds for education, prevention and enforcement
Half the penalties will be paid into the Education and Good Governance Fund
- By: IE Staff
- July 1, 2010 July 1, 2010
- 14:03
Feds propose beefed up disclosure requirements for GICs, term deposits and registered accounts
Proposals reflect that financial products are becoming increasingly complex and challenging for investors to understand
- By: Megan Harman
- June 30, 2010 June 30, 2010
- 07:28
‘Soft-dollar’ commissions rule takes effect June 30
Rule clarifies goods and services that may be acquired by advisors
- By: James Langton
- June 29, 2010 June 29, 2010
- 14:12