Government proposes tax avoidance reporting regime
Rules would help CRA identify instances of aggressive tax planning
- By: IE Staff
- May 9, 2010 May 9, 2010
- 16:22
Latest news in From the Regulators
Multi-market environment may have triggered unusual activity, regulators suggest
No conclusive explanation for Thursday's sudden market dive
- By: James Langton
- May 9, 2010 May 9, 2010
- 16:20
OSFI proposes solution to ‘too big to fail’ problem
Embedded contingent capital would give banks a form of self-insurance, Dickson says
- By: James Langton
- May 9, 2010 May 9, 2010
- 16:18
CFTC warns traders to adhere to limits
Speculative position limits apply on an intraday basis, regulator says
- By: James Langton
- May 9, 2010 May 9, 2010
- 14:41
IIROC cancels trades in response to market volatility
Trades in four securities conducted on Thursday have been cancelled or repriced
- By: James Langton
- May 9, 2010 May 9, 2010
- 13:09
European regulators to intensify market surveillance
CESR to co-operate with U.S. Securities and Exchange Commission
- By: James Langton
- May 9, 2010 May 9, 2010
- 11:50
Ex-fund salesman fined for falsifying KYC forms
Nivet updated forms and signatures without contacting clients
- By: Megan Harman
- May 6, 2010 May 6, 2010
- 16:24
OSFI issues warning on “innovative” capital instruments
Instruments likely won’t be grandfathered into new Basel regime
- By: James Langton
- May 6, 2010 May 6, 2010
- 13:38
MFDA fines ex-ASL Direct president $50,000 for multiple violations
Leemhuis receives 5-year ban
- By: Megan Harman
- May 5, 2010 May 5, 2010
- 16:11
Ottawa moves to enhance protection for private pension plan members
Amendments would reduce funding volatility, modernize investment rules
- By: IE Staff
- May 5, 2010 May 5, 2010
- 15:58
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
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