BCSC to continue with hearing into MFDA governance issues
Regulator to go ahead without the participation of Partners in Planning
- By: James Langton
- June 10, 2010 June 10, 2010
- 12:35
Latest news in From the Regulators
Global regulators aim to identify and manage systemic risk
IOSCO unveils revised mission and goals for the next five years
- By: James Langton
- June 10, 2010 June 10, 2010
- 12:16
Winnipeg broker fined $36,500 for KYC breaches
No clients suffered any financial loss as a result of Jannetta’s misconduct
- By: IE Staff
- June 9, 2010 June 9, 2010
- 15:31
Governance report recommends larger board for IIROC
Geographical representation hampered by having only five seats for dealers
- By: James Langton
- June 9, 2010 June 9, 2010
- 12:37
NBSC warns of online dating investment fraud
Scheme involved worthless gold certificates
- By: IE Staff
- June 9, 2010 June 9, 2010
- 10:18
AMF signs assistance agreement with United Arab Emirates
Agreement will enhance investor protection and bolster enforcement measures between the two jurisdictions
- By: James Langton
- June 9, 2010 June 9, 2010
- 10:01
Six more countries join fight against cross border market misconduct: IOSCO
Expansion will help to reduce the ability of offenders to evade detection
- By: James Langton
- June 9, 2010 June 9, 2010
- 09:29
Proposed national securities regulator an opportunity for improvement, says CSTO panel
Legal challenges expected to be resolved within a year
- By: Megan Harman
- June 8, 2010 June 8, 2010
- 10:54
IIROC to close Toronto office during G20 Summit
Market surveillance staff will be working off-site
- By: James Langton
- June 8, 2010 June 8, 2010
- 09:40
IOSCO appoints new Technical Committee chairman
Hoogervorst succeeds Casey
- By: James Langton
- June 8, 2010 June 8, 2010
- 09:29
Investment schemers ordered to pay $29 million by OSC
Schemes raised up to $33.9 million from investors
- By: Megan Harman
- June 7, 2010 June 7, 2010
- 16:00
Financial reform taking too long, uncertainty hurting banks: Flaherty
Momentum for reform will die if process does not move ahead now, says Conference Board report
- By: Kristine Owram
- June 7, 2010 June 7, 2010
- 11:57
SEC reviewing comments on adoption of single-stock circuit breakers
Implementation could take place in as early as two weeks
- By: James Langton
- June 7, 2010 June 7, 2010
- 06:33
Ex-Worldsource salesman fined $50,000
MFDA disciplines Johns for inappropriate referral arrangements
- By: Megan Harman
- June 6, 2010 June 6, 2010
- 15:46
Canada wins fight over global bank tax at G20 meeting in South Korea
Each country will be free to choose its own way of dealing with the issue
- By: Julian Beltrame
- June 6, 2010 June 6, 2010
- 15:03
IIROC revises proposal for OTC securities fair pricing rule
Newly proposed rule excludes primary market transactions and OTC derivatives
- By: James Langton
- June 6, 2010 June 6, 2010
- 13:04
MFDA regional council members elected by acclamation
Councils appoint chairs, vice chairs
- By: IE Staff
- June 6, 2010 June 6, 2010
- 10:55
Harper and French leaders agree to disagree on bank tax
Proposed tax would help pay for economic rescue packages
- By: The Canadian Press
- June 4, 2010 June 4, 2010
- 09:33
Harper’s opposition to bank tax falls on deaf ears in meeting with British PM
UK taxpayers outraged about having to have bailed out the private sector
- By: Marie Vastel
- June 3, 2010 June 3, 2010
- 12:44
UK regulator hands J.P. Morgan record fine
Firm failed to segregate billions of dollars of its clients’ money for nearly seven years
- By: James Langton
- June 3, 2010 June 3, 2010
- 07:19
Feds muzzle banks’ insurance sales
- By: Byren Innes
- June 2, 2010 December 15, 2017
- 22:26
ASC alleges illegal trading of Halo, Canadian Alternative Resources securities
Regulator cease trades two firms
- By: IE Staff
- June 1, 2010 June 1, 2010
- 12:29
Regulators propose new disclosure and governance regimes for venture issuers
Proposals aim to streamline regulatory requirements
- By: James Langton
- May 31, 2010 May 31, 2010
- 09:43
CSA, IIROC outline next steps to address developments in market structure in Canada
Regulators issue joint update
- By: James Langton
- May 30, 2010 May 30, 2010
- 10:52
Proposed rule outlines banned personal financial dealings between brokers and clients
Any personal financial dealing with clients creates an unacceptable conflict of interest, IIROC says
- By: James Langton
- May 30, 2010 May 30, 2010
- 09:37