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
Latest news in From the Regulators
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
Provincial opposition won’t scuttle plans for national securities regulator: expert
Support of all provinces would make national regulator more effective, Flaherty says
- By: Kristine Owram
- May 27, 2010 May 27, 2010
- 17:15
Flaherty proposes tighter regulation of insurance promotion by banks
Proposed measures equate websites with bank branches
- By: James Langton
- May 27, 2010 May 27, 2010
- 14:30
Warning issued over motor vehicle insurance scam in Ontario
Scams feature unusually low rates
- By: IE Staff
- May 27, 2010 May 27, 2010
- 09:56
ASC permanently bans 4 operators of Ponzi scheme
800 investors bilked of more that US$10 million
- By: IE Staff
- May 27, 2010 May 27, 2010
- 07:09
Two provinces dig in heels against national securities regulator bill
Alberta, Quebec vow to defend provincial jurisdiction
- By: Julian Beltrame
- May 26, 2010 May 26, 2010
- 17:30
Flaherty takes key step in establishing a national securities regulator
Proposed legislation would create the Canadian Securities Regulatory Authority
- By: James Langton
- May 26, 2010 May 26, 2010
- 16:20
B.C. fund salesman fined $25,000
Multiple violations earn Ruemper a permanent ban
- By: Megan Harman
- May 26, 2010 May 26, 2010
- 15:55
Finra seeks to expand oversight to back-office employees
Proposed registration requirements would include passing a qualification exam
- By: James Langton
- May 26, 2010 May 26, 2010
- 14:25
EU proposes bank tax to pay for future failures
Measure to be presented at G20 summit in Toronto
- By: James Langton
- May 26, 2010 May 26, 2010
- 09:55
Flaherty to roll out national securities regulator legislation
Announcement expected Wednesday
- By: Julian Beltrame
- May 25, 2010 May 25, 2010
- 19:45
EU securities regulators call for swift action on derivatives
Structural reforms should be rapidly introduced to enhance transparency
- By: James Langton
- May 25, 2010 May 25, 2010
- 16:20
Ex-Union Securities rep fined $200,000
Sauder banned for securities rules violations
- By: IE Staff
- May 25, 2010 May 25, 2010
- 14:45
IPC Securities fined for accredited investor failings
New policies and procedures result from IIROC investigation
- By: IE Staff
- May 25, 2010 May 25, 2010
- 14:08
Two B.C. brokers fined for trading rule violations
IIROC sanctions against Mauro and Harding total $80,000
- By: IE Staff
- May 25, 2010 May 25, 2010
- 13:59
CSA helps young Canadians increase financial literacy with the “Financial Fitness Challenge”
National grand prize winner from Belleville, Ont.
- By: IE Staff
- May 25, 2010 May 25, 2010
- 10:00