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
Latest news in From the Regulators
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
Carney to chair Committee on the Global Financial System
Bank of Canada governor succeeds Kohn
- By: James Langton
- June 29, 2010 June 29, 2010
- 10:23
NASAA website lets investors view background information on advisors
Available info includes customer complaints, disciplinary incidents
- By: James Langton
- June 28, 2010 June 28, 2010
- 15:39
Ontario investors warned of advance fee scheme
Prudence Trust Management, Goldstein Asset Protection have been posted on OSC’s investor warning list
- By: IE Staff
- June 28, 2010 June 28, 2010
- 14:57
MFDA proposes rule on transaction fee disclosure
New rule would require dealers to advise clients of direct transaction fees and charges upfront
- By: James Langton
- June 27, 2010 June 27, 2010
- 09:09
Feds promise flexibility over TFSA misunderstandings
Taxpayers given more time to respond to requests for information
- By: James Langton
- June 27, 2010 June 27, 2010
- 08:51
CSA proposes overhaul of mutual fund rules
Changes intended to reduce regulatory costs for new and existing funds
- By: James Langton
- June 27, 2010 June 27, 2010
- 08:40
CSA proposes changes to registration rules for dealers, advisors and fund managers
Amendments intended to make rules clearer
- By: James Langton
- June 27, 2010 June 27, 2010
- 08:30
Feds release final regulations to boost protection for private pension plan members
Amendments soften impact of short-term market volatility on solvency funding requirements
- By: Megan Harman
- June 27, 2010 June 27, 2010
- 08:20
U.S. House, Senate reach deal on financial reform
Mixed opinions from industry, regulators
- By: James Langton
- June 25, 2010 June 25, 2010
- 09:40
OSC halts vote on Magna plan
Regulator tells company to amend circular before shareholder vote
- By: The Canadian Press
- June 25, 2010 June 25, 2010
- 05:55
Canada does not need global bank tax, Flaherty says
Tax a distraction from more pressing G20 reforms
- By: Sunny Freeman
- June 24, 2010 June 24, 2010
- 14:35
NBSC fines WFG Securities for unregistered office in Fredericton
Incorrect registration nets $20,000 penalty
- By: IE Staff
- June 24, 2010 June 24, 2010
- 11:09
Directors ‘very concerned’ about Stronach premium, Harris tells OSC
Commission to decide whether premium should prevent deal from doing ahead
- By: Kristine Owram
- June 23, 2010 June 23, 2010
- 17:28
Ontario fund salesman fined $45,000 for selling prohibited securities
Brown banned for misleading his firm and the MFDA
- By: Megan Harman
- June 22, 2010 June 22, 2010
- 15:40
UK budget introduces bank tax
Levy intended to encourage banks to move to less risky funding profiles
- By: James Langton
- June 22, 2010 June 22, 2010
- 12:43