IIROC disciplines ex-Northern Securities broker
Ewaniuk fined and suspended for failing in his role as a gatekeeper
- By: IE Staff
- May 5, 2010 May 5, 2010
- 13:26
Latest news in From the Regulators
Ottawa to send securities regulator bill to Supreme Court soon: Flaherty
Draft bill to be tabled “in a matter of weeks”
- By: The Canadian Press
- May 4, 2010 May 4, 2010
- 11:15
FINRA to oversee NYSE equities and options markets
Agreement aims to improve investor protection by establishing a unified approach to market oversight
- By: James Langton
- May 4, 2010 May 4, 2010
- 09:55
Former Coast Capital fund salesman fined $20,000
Laverdiere sold Horizon FX product that was not approved by dealer
- By: Megan Harman
- May 3, 2010 May 3, 2010
- 16:10
Canadian Securities Transition Office to continue consultations on investor panel
New report outlines results of roundtable
- By: James Langton
- May 3, 2010 May 3, 2010
- 12:55
Ottawa releases draft changes to TFSA rules
Amendments respond to concerns over use of TFSAs in tax-planning schemes
- By: IE Staff
- May 2, 2010 May 2, 2010
- 14:21
ASC extends order against Harris
Regulator alleges that Harris distributed securities without registration
- By: IE Staff
- April 30, 2010 April 30, 2010
- 11:20
OSC agrees to interim stay of Vitug decision
Hearing set for May 5
- By: Megan Harman
- April 29, 2010 April 29, 2010
- 18:55
Fiduciary standard would protect investors: SEC commissioner
Permitting brokers to provide investment advice without requiring them to act as fiduciaries leaves investors vulnerable to abuse
- By: James Langton
- April 29, 2010 April 29, 2010
- 16:30
Ex-AEGON salesman fined $100,000
Westgard permanently banned by MFDA
- By: Megan Harman
- April 29, 2010 April 29, 2010
- 16:25
Greek crisis could lead to rise in global interest rates, says BoC’s Carney
Emerging economies must play a bigger role in supporting global demand
- By: Julian Beltrame
- April 29, 2010 April 29, 2010
- 13:50
OSFI head tells insurers to prepare for regulatory changes
Changes are in the works for capital requirements, accounting rules
- By: James Langton
- April 29, 2010 April 29, 2010
- 12:45
IIROC proposes new dealer regulation fee model
New model would see higher fees for smaller firms, lower fees for large, integrated dealers
- By: James Langton
- April 28, 2010 April 28, 2010
- 14:23
Regulators need to set the bar higher, says IIROC head
Canadian regulators looking for cost effective framework for regulating short sales
- By: James Langton
- April 28, 2010 April 28, 2010
- 10:30
Banks criticized by UK regulator over customer complaints
FSA reviewing whether it needs to make changes to its existing rules on complaint handling
- By: James Langton
- April 28, 2010 April 28, 2010
- 07:47
Goldman Sachs under fire in Washington
U.S. lawmakers push for Canada style rules
- By: Lee-Anne Goodman
- April 27, 2010 April 27, 2010
- 15:50
Single securities regulator would hinder development of Quebec’s financial expertise: St-Gelais
AMF head calls on province’s financial sector to reject Ottawa’s proposal
- By: James Langton
- April 27, 2010 April 27, 2010
- 15:36
FINRA fines 5 firms US$385,000 for illegal sale of penny stocks
RBC Capital Markets fined US$135,000
- By: James Langton
- April 27, 2010 April 27, 2010
- 11:05
Dates set for two ABCP-related hearings
Deutsche Bank Securities, Coventree dispute allegations by regulators
- By: James Langton
- April 26, 2010 April 26, 2010
- 16:03
OSC upholds IIROC fine and ban for Blackmont trading officer
Ontario regulator dismisses application by Vitug
- By: IE Staff
- April 26, 2010 April 26, 2010
- 15:43
Flaherty notches anti bank tax victory at G20 meetings in Washington
Joint statement failed to endorse controversial levy.
- By: Lee-Anne Goodman
- April 25, 2010 April 25, 2010
- 15:31
Canada set to attract Chinese investment capital under new agreement
Regulators seek to develop the wealth management business of Chinese banks in Canada
- By: Megan Harman
- April 25, 2010 April 25, 2010
- 14:35
CSA proposes changes to disclosure rules for mining companies
Consultations revealed concerns among market players, regulators
- By: James Langton
- April 25, 2010 April 25, 2010
- 10:30
IIROC expels Credifinance Securities
Three reps fined and suspended
- By: Megan Harman
- April 22, 2010 April 22, 2010
- 16:07
Obama ratchets up pressure for financial overhaul
U.S President calls on industry to support reform
- By: James Langton
- April 22, 2010 April 22, 2010
- 14:12