Canadian regulators reviewing electronic trading risks following recent market volatility
Canadian regulators reviewing electronic trading risks following recent market volatility
- By: James Langton
- May 16, 2010 May 16, 2010
- 16:19
Latest news in From the Regulators
OSC to take a closer look at fund manager changes
Staff to review whether ‘change in control’ applications require unitholder approval
- By: James Langton
- May 16, 2010 May 16, 2010
- 15:02
ASC seeks bans against Cyprus-based Genius Funds
Staff allege Genius illegally solicited investments from Alberta residents
- By: IE Staff
- May 16, 2010 May 16, 2010
- 14:15
National securities commission under attack from Quebec finance minister
Bachand doubtful that enforcement would be improved with a national commission
- By: IE Staff
- May 13, 2010 May 13, 2010
- 16:20
SEC settles with ex-Merrill exec in Enron fraud case
“Sham” transactions boosted Enron’s reported income
- By: James Langton
- May 12, 2010 May 12, 2010
- 16:35
Bank of New York unit sued for Madoff-related fraud
N.Y. attorney general alleges Ivy misled clients
- By: James Langton
- May 12, 2010 May 12, 2010
- 07:25
International regulators offer guidance on OTC derivatives market
Two reports tackle central counterparties, trade repositories
- By: James Langton
- May 11, 2010 May 11, 2010
- 15:48
Nova Scotia seeks input on changes to mortgage legislation
Proposed legislation would provide clearer guidelines to mortgage brokers and lenders
- By: IE Staff
- May 11, 2010 May 11, 2010
- 13:25
Toronto should be home to national securities regulator: McGuinty
Single regulator would make Canada more open to investment
- By: Keith Leslie
- May 11, 2010 May 11, 2010
- 11:38
U.S. regulators set up panel to study market plunge
SEC, CFTC joint committee will address emerging regulatory issues
- By: James Langton
- May 11, 2010 May 11, 2010
- 11:21
AMF cautions investors about JM Finance Group
Montreal-based firm has allegedly targeted foreign investors
- By: James Langton
- May 11, 2010 May 11, 2010
- 10:29
Toronto foundation loses charitable status for bilking taxman
Cash funnelled into the hands of the promoters rather than charitable purposes, CRA says
- By: The Canadian Press
- May 11, 2010 May 11, 2010
- 09:36
SEC, exchanges agree to strengthen circuit breakers
Schapiro meets with market heads
- By: James Langton
- May 10, 2010 May 10, 2010
- 14:44
National securities regulator would harm Quebec economy: study
Opposition to federal plan is growing in the province
- By: James Langton
- May 10, 2010 May 10, 2010
- 14:06
‘Chinese Warren Buffett’ says he needs legal aid to defend against fraud charges
Tang charged with running a $30 million Ponzi scheme
- By: The Canadian Press
- May 10, 2010 May 10, 2010
- 10:29
Government proposes tax avoidance reporting regime
Rules would help CRA identify instances of aggressive tax planning
- By: IE Staff
- May 9, 2010 May 9, 2010
- 16:22
Multi-market environment may have triggered unusual activity, regulators suggest
No conclusive explanation for Thursday's sudden market dive
- By: James Langton
- May 9, 2010 May 9, 2010
- 16:20
OSFI proposes solution to ‘too big to fail’ problem
Embedded contingent capital would give banks a form of self-insurance, Dickson says
- By: James Langton
- May 9, 2010 May 9, 2010
- 16:18
CFTC warns traders to adhere to limits
Speculative position limits apply on an intraday basis, regulator says
- By: James Langton
- May 9, 2010 May 9, 2010
- 14:41
IIROC cancels trades in response to market volatility
Trades in four securities conducted on Thursday have been cancelled or repriced
- By: James Langton
- May 9, 2010 May 9, 2010
- 13:09
European regulators to intensify market surveillance
CESR to co-operate with U.S. Securities and Exchange Commission
- By: James Langton
- May 9, 2010 May 9, 2010
- 11:50
Ex-fund salesman fined for falsifying KYC forms
Nivet updated forms and signatures without contacting clients
- By: Megan Harman
- May 6, 2010 May 6, 2010
- 16:24
OSFI issues warning on “innovative” capital instruments
Instruments likely won’t be grandfathered into new Basel regime
- By: James Langton
- May 6, 2010 May 6, 2010
- 13:38
MFDA fines ex-ASL Direct president $50,000 for multiple violations
Leemhuis receives 5-year ban
- By: Megan Harman
- May 5, 2010 May 5, 2010
- 16:11
Ottawa moves to enhance protection for private pension plan members
Amendments would reduce funding volatility, modernize investment rules
- By: IE Staff
- May 5, 2010 May 5, 2010
- 15:58