New regulations looming for securitized products
CSA says rules will address investor protection, market stability concerns
- By: James Langton
- June 20, 2010 June 20, 2010
- 13:23
Latest news in From the Regulators
SEC proposes rules for breaking erroneous trades
In response to "flash crash", new rules would help market participants manage risks
- By: James Langton
- June 17, 2010 June 17, 2010
- 17:05
MFDA proposes increase to investor protection fund assets
Association cites “real risk” of fund dealers going bankrupt
- By: James Langton
- June 17, 2010 June 17, 2010
- 16:45
UK’s Financial Services Authority undermined by financial crisis
Tripartite regulation made rapid decision-making made nearly impossible by tripartite regulation
- By: James Langton
- June 17, 2010 June 17, 2010
- 10:52
Magna CFO says regulator shouldn’t deny shareholders chance to vote on stock restructuring
Company will work to address the OSC’s concerns
- By: The Canadian Press
- June 16, 2010 June 16, 2010
- 18:34
UK to restructure financial services regulation
Financial Services Authority to be replaced with new conduct regulator
- By: James Langton
- June 16, 2010 June 16, 2010
- 15:46
CSA opts for ‘staged implementation’ of point of sale disclosure for mutual funds
‘Fund Facts’ requirements to be published in December
- By: James Langton
- June 16, 2010 June 16, 2010
- 11:09
FAIR Canada calls on OSC to quash Magna share proposal
Hearing called for later this month
- By: James Langton
- June 15, 2010 June 15, 2010
- 19:28
Quebec, Alberta say proposed national securities regulator would cause market havoc
Provinces call on Ottawa to abandon 'project'
- By: Jonathan Montpetit
- June 15, 2010 June 15, 2010
- 17:35
MFDA seeks applicants for Policy Advisory Committee
Deadline for applications is July 9
- By: James Langton
- June 15, 2010 June 15, 2010
- 16:16
NASAA urges U.S. lawmakers to impose fiduciary duty on broker-dealers
House fiduciary standard provides strong investor protection
- By: James Langton
- June 15, 2010 June 15, 2010
- 15:59
EU parliament calls for tougher rules on derivatives trading
Proposed legislation should include rules banning purely speculative trading in commodities and agricultural products
- By: James Langton
- June 15, 2010 June 15, 2010
- 14:30
OSC urged to tackle corporate social disclosure: report
Regulator positioned to take a leadership role in promoting better corporate social disclosure
- By: IE Staff
- June 15, 2010 June 15, 2010
- 11:23
Canadians encouraged to report financial abuse of seniors
Regulators help caregivers recognize the signs of investment fraud
- By: IE Staff
- June 15, 2010 June 15, 2010
- 10:02
MFDA bans ex-Legacy Investment fund salesman
Nerdahl facilitated loans for 17 clients without approval
- By: IE Staff
- June 14, 2010 June 14, 2010
- 14:36
SIFMA calls for creation of systemic risk regulator
Study highlights eight different approaches
- By: James Langton
- June 14, 2010 June 14, 2010
- 13:27
OSC, AMF and SEC sign regulatory co-operation agreement
Agreement extends co-operation to day-to-day supervision and oversight of regulated firms
- By: James Langton
- June 14, 2010 June 14, 2010
- 11:01
Quebec reaffirms opposition to national securities regulator
Calls on Ottawa to suspend CSTO work
- By: James Langton
- June 14, 2010 June 14, 2010
- 09:51
CFTC wants proximity-based advantages available to all
Regulators examining co-location services to see whether they give some traders an unfair advantage
- By: James Langton
- June 14, 2010 June 14, 2010
- 07:29
ASC reaches settlement in illegal insider trading of Shift Networks shares
Strategic Equity Corp., Bulloch agree to pay $280,000
- By: IE Staff
- June 11, 2010 June 11, 2010
- 11:01
Time for regulators to show courage, IOSCO panel says
Hoogervorst questions appetite for reform
- By: James Langton
- June 11, 2010 June 11, 2010
- 09:20
France, Quebec to recognize professional qualifications
Regulators further facilitate mobility of investment and securities industry professionals
- June 11, 2010 June 11, 2010
- 08:30
SEC approves stock-by-stock circuit breaker rules
“Flash crash” under scrutiny at IOSCO conference (IE:TV)
- By: James Langton
- June 11, 2010 June 11, 2010
- 08:15
Canadians charged in US$300 million Ponzi scheme
SEC claims Calgary duo diverted investor funds for their personal benefit
- By: James Langton
- June 11, 2010 June 11, 2010
- 07:48
Canada modestly impacted by European debt crisis so far: Bank of Canada
Carney calls for radical reforms to aid recovery
- By: The Canadian Press
- June 10, 2010 June 10, 2010
- 13:24