UK regulator fines and bans former executives of credit crunch casualty Northern Rock
FSA takes action against senior directors
- By: Jane Wardell
- April 13, 2010 April 13, 2010
- 07:26
Latest news in From the Regulators
CSA proposes overhaul of shareholder communication rules
Changes would enable shareholders to receive materials electronically
- By: James Langton
- April 11, 2010 April 11, 2010
- 11:50
BCSC issues permanent ban against Genius Funds
Cyprus-based company illegally sold securities
- By: IE Staff
- April 11, 2010 April 11, 2010
- 08:45
NBF branch manager fined $30,000
Bouchard permanently barred from approval as branch manager
- By: Megan Harman
- April 8, 2010 April 8, 2010
- 15:59
IOSCO releases disclosure principles for asset-backed securities
Goal is to enhance investor protection
- By: James Langton
- April 8, 2010 April 8, 2010
- 11:44
SEC proposes tighter regulation of asset-backed securities
Securities industry cautiously supportive
- By: James Langton
- April 7, 2010 April 7, 2010
- 15:41
OSFI outlines key challenges
Federal regulator releases plans and priorities for 2010-2013
- By: James Langton
- April 7, 2010 April 7, 2010
- 11:26
NBSC bans two B.C. residents from securities industry
O’Neill, Helmig banned for their roles in “Pay it Forward” scheme
- By: IE Staff
- April 7, 2010 April 7, 2010
- 07:35
N.B. manager fined and suspended
IIROC orders Bardsley to pay $30,000 in fines and costs
- By: IE Staff
- April 6, 2010 April 6, 2010
- 15:15
OSC releases new set of allegations against Sextant Capital
Hearing scheduled for May
- By: Megan Harman
- April 5, 2010 April 5, 2010
- 15:14
OSC alleges IR firm made fraudulent postings in online forums
Agroacom denies regulator’s allegations
- By: James Langton
- April 5, 2010 April 5, 2010
- 08:50
AMF warns investors about cold calls from Heritage Benefits
Unregistered firm may be operating out of Montreal
- By: Megan Harman
- April 4, 2010 April 4, 2010
- 09:53
OSFI taking new approach to regulation of reinsurance
Paper outlines impending reforms to reinsurance regulatory and supervisory framework
- By: James Langton
- March 31, 2010 March 31, 2010
- 16:46
OSC’s Wilson paid $668,000 in 2009
Compensation dips for top-paid Ontario securities regulators
- By: IE Staff
- March 31, 2010 March 31, 2010
- 15:45
UK regulator lays 13 charges in illegal insider trading conspiracy
Two Canadian firms had their shares illegally traded
- By: James Langton
- March 31, 2010 March 31, 2010
- 15:21
U.S. Supreme Court says judges can settle fights over fees charged to mutual funds
Lawsuit on excessive fees sent back to a lower court for resolution
- By: The Associated Press
- March 30, 2010 March 30, 2010
- 10:11
Report calls for changes to Ontario securities regulation
Changes needed in the wake of ABCP market failure
- By: James Langton
- March 30, 2010 March 30, 2010
- 06:26
Calgary police charge four after $60 million Ponzi scheme investigation
HMS Financial scheme promised to pay between 8 and 12% return
- By: Bob Weber
- March 29, 2010 March 29, 2010
- 18:32
Ontario fund salesperson suspended for two years
Henry misappropriated client funds
- By: IE Staff
- March 29, 2010 March 29, 2010
- 16:01
IIROC proposes revisions to rules dealing with business conduct standards and client accounts
Revisions are part of SRO’s plain language initiative
- By: James Langton
- March 28, 2010 March 28, 2010
- 16:14
UK regulator to outlaw embedded commissions
New regime intended to help restore consumer confidence
- By: James Langton
- March 28, 2010 March 28, 2010
- 15:56
Regulators approve MFDA rule allowing commission payments to personal corporations
Eligible commissions must be from business conducted by a rep on behalf of an MFDA member
- By: James Langton
- March 28, 2010 March 28, 2010
- 14:05
Proposed bill would harmonize B.C. securities legislation
B.C. Finance Statutes Amendment Act introduced
- By: James Langton
- March 26, 2010 March 26, 2010
- 07:08
SEC reviewing use of derivatives by mutual funds, ETFs
Regulator want to be sure protections keep up with the increasing complexity of these instruments
- By: James Langton
- March 25, 2010 March 25, 2010
- 13:46
Insider trading ring used Canadian brokerage accounts: SEC
New York, London rocked by insider trading allegations
- By: James Langton
- March 25, 2010 March 25, 2010
- 11:19