Firm failed to notify FSA of an SEC investigation
- By: James Langton
- September 9, 2010 September 9, 2010
- 09:16
Latest news in From the Regulators
“Flash crash” may have caused investors to flee markets: Schapiro
Regulators must take more steps in response to May incident
- By: James Langton
- September 7, 2010 September 7, 2010
- 16:02
MFDA concludes disciplinary hearing against Ontario rep
Death halts McBride proceedings
- By: IE Staff
- September 6, 2010 September 6, 2010
- 10:00
IIROC permanently bans ex-iForum securities rep
Tardiff ordered to pay $453,000 by Quebec’s AMF
- By: IE Staff
- September 2, 2010 September 2, 2010
- 14:45
U.S. Fed chairman says large banks must be shut down if they threaten the financial system
Bailing out Lehman would have saddled U.S. taxpayers with billions of dollars in losses, Bernanke says
- By: Marcy Gordon
- September 2, 2010 September 2, 2010
- 13:25
ASC sanctions Kustom Design companies and Synergy Group for illegal trading,
Firms, men ordered to pay $500,000
- By: IE Staff
- September 2, 2010 September 2, 2010
- 13:02
U.S. regulators defend actions before Lehman collapse, Wachovia takeover
Ex-Lehman CEO blames rumour, regulators
- By: Marcy Gordon
- September 1, 2010 September 1, 2010
- 11:20
New members sought for OSC Continuous Disclosure Advisory Committee
Applications due Sept. 30
- By: IE Staff
- September 1, 2010 September 1, 2010
- 09:01
CFTC releases final rules regarding retail forex transactions
The U.S. Commodity Futures Trading Commission announced Tuesday that it has published new rules strengthening its oversight of one of biggest trouble spots under its…
- By: James Langton
- August 31, 2010 August 31, 2010
- 14:55
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
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