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
Latest news in From the Regulators
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
IIROC AGM set for Sept. 15
Members to consider financial statements, elect directors
- By: IE Staff
- August 22, 2010 August 22, 2010
- 09:26
Ontario court dismisses Vitug’s appeal of IIROC penalty
Ex-broker must pay $350,000 fine
- By: IE Staff
- August 22, 2010 August 22, 2010
- 09:23
Tougher bank rules would produce benefits: Bank of Canada
Working with other countries to develop stronger international capital and liquidity standards in Canada’s interest, Carney says
- By: James Langton
- August 18, 2010 August 18, 2010
- 12:54
Swiss banking oversight chief resigns after criticism for close links with UBS
Haltiner will leave FINMA at the end of the year
- By: IE Staff
- August 18, 2010 August 18, 2010
- 09:35
Benefits of increased capital and liquidity requirements for banks outweigh costs, regulators say
Basel Committee assessment finds clear net long term economic benefits
- By: James Langton
- August 18, 2010 August 18, 2010
- 08:55
Ontario court approves plan to eliminate Magna dual class share structure
Stronach to receive $1 billion in cash and shares
- By: The Canadian Press
- August 17, 2010 August 17, 2010
- 10:52
Vancouver broker banned for submitting false PFPC results
IIROC orders Lohrisch to pay $67,000 in fines and costs
- By: Megan Harman
- August 17, 2010 August 17, 2010
- 09:50
N.S. Securities Commission settles with Medmira
Firm to pay $125,000 administrative penalty
- By: IE Staff
- August 17, 2010 August 17, 2010
- 08:59
Ontario court to rule Tuesday on controversial Magna share buyout plan
Controversial deal worth more than $1 billion
- By: Kristine Owram
- August 17, 2010 August 17, 2010
- 07:14
IIROC suspends Magna Partners Ltd.
Toronto firm ordered to cease dealing with the public
- By: IE Staff
- August 16, 2010 August 16, 2010
- 11:03
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
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