SIFMA calls for creation of systemic risk regulator
Study highlights eight different approaches
- By: James Langton
- June 14, 2010 June 14, 2010
- 13:27
Latest news in From the Regulators
OSC, AMF and SEC sign regulatory co-operation agreement
Agreement extends co-operation to day-to-day supervision and oversight of regulated firms
- By: James Langton
- June 14, 2010 June 14, 2010
- 11:01
Quebec reaffirms opposition to national securities regulator
Calls on Ottawa to suspend CSTO work
- By: James Langton
- June 14, 2010 June 14, 2010
- 09:51
CFTC wants proximity-based advantages available to all
Regulators examining co-location services to see whether they give some traders an unfair advantage
- By: James Langton
- June 14, 2010 June 14, 2010
- 07:29
ASC reaches settlement in illegal insider trading of Shift Networks shares
Strategic Equity Corp., Bulloch agree to pay $280,000
- By: IE Staff
- June 11, 2010 June 11, 2010
- 11:01
Time for regulators to show courage, IOSCO panel says
Hoogervorst questions appetite for reform
- By: James Langton
- June 11, 2010 June 11, 2010
- 09:20
France, Quebec to recognize professional qualifications
Regulators further facilitate mobility of investment and securities industry professionals
- June 11, 2010 June 11, 2010
- 08:30
SEC approves stock-by-stock circuit breaker rules
“Flash crash” under scrutiny at IOSCO conference (IE:TV)
- By: James Langton
- June 11, 2010 June 11, 2010
- 08:15
Canadians charged in US$300 million Ponzi scheme
SEC claims Calgary duo diverted investor funds for their personal benefit
- By: James Langton
- June 11, 2010 June 11, 2010
- 07:48
Canada modestly impacted by European debt crisis so far: Bank of Canada
Carney calls for radical reforms to aid recovery
- By: The Canadian Press
- June 10, 2010 June 10, 2010
- 13:24
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
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