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
Latest news in From the Regulators
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
IOSCO releases principles on cross-border supervision
Co-operative relationships will allow regulators to oversee financial services firms that operate in multiple jurisdictions
- By: James Langton
- May 25, 2010 May 25, 2010
- 08:30
OSFI issues draft guideline on capital targets for insurers
Volatile markets underscore the need for supportable targets
- By: James Langton
- May 21, 2010 May 21, 2010
- 13:51
Ex-Investors Group salesman fined $25,000
Levy banned for violating MFDA rules
- By: Megan Harman
- May 20, 2010 May 20, 2010
- 16:17
Proposed HST changes intended to level the playing field for financial institutions
Transition rules for Ontario and B.C. outlined
- By: IE Staff
- May 20, 2010 May 20, 2010
- 11:28
Toronto broker fined $97,000
Rep engaged in third-party dealings without dealer’s knowledge
- By: IE Staff
- May 19, 2010 May 19, 2010
- 14:54
MFDA terminates membership of ASL Direct
A hearing panel of the Central Regional Council of the Mutual Fund Dealears Association of Canada has terminated the membership of fund dealer ASL Direct…
- By: IE Staff
- May 19, 2010 May 19, 2010
- 13:49
SEC proposes circuit breakers for single stocks
New measures aimed at avoiding market plunges
- By: James Langton
- May 19, 2010 May 19, 2010
- 07:27
IIROC announces penalty for Questrade over FX margin rates
Online brokerage fined $150,000
- By: IE Staff
- May 18, 2010 May 18, 2010
- 15:36
ASC sanctions Hav-Loc Private Wealth Partners and CEO
Marketing materials misled investor about due diligence activities
- By: IE Staff
- May 17, 2010 May 17, 2010
- 15:30