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
Latest news in From the Regulators
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
Goldman Sachs under fire in Washington
U.S. lawmakers push for Canada style rules
- By: Lee-Anne Goodman
- April 27, 2010 April 27, 2010
- 15:50
Single securities regulator would hinder development of Quebec’s financial expertise: St-Gelais
AMF head calls on province’s financial sector to reject Ottawa’s proposal
- By: James Langton
- April 27, 2010 April 27, 2010
- 15:36
FINRA fines 5 firms US$385,000 for illegal sale of penny stocks
RBC Capital Markets fined US$135,000
- By: James Langton
- April 27, 2010 April 27, 2010
- 11:05
Dates set for two ABCP-related hearings
Deutsche Bank Securities, Coventree dispute allegations by regulators
- By: James Langton
- April 26, 2010 April 26, 2010
- 16:03
OSC upholds IIROC fine and ban for Blackmont trading officer
Ontario regulator dismisses application by Vitug
- By: IE Staff
- April 26, 2010 April 26, 2010
- 15:43
Flaherty notches anti bank tax victory at G20 meetings in Washington
Joint statement failed to endorse controversial levy.
- By: Lee-Anne Goodman
- April 25, 2010 April 25, 2010
- 15:31
Canada set to attract Chinese investment capital under new agreement
Regulators seek to develop the wealth management business of Chinese banks in Canada
- By: Megan Harman
- April 25, 2010 April 25, 2010
- 14:35
CSA proposes changes to disclosure rules for mining companies
Consultations revealed concerns among market players, regulators
- By: James Langton
- April 25, 2010 April 25, 2010
- 10:30
IIROC expels Credifinance Securities
Three reps fined and suspended
- By: Megan Harman
- April 22, 2010 April 22, 2010
- 16:07
Obama ratchets up pressure for financial overhaul
U.S President calls on industry to support reform
- By: James Langton
- April 22, 2010 April 22, 2010
- 14:12
Bank tax a ‘distraction,’ says Carney
Controversial proposal won’t derail G20 bank reforms
- By: Julian Beltrame
- April 22, 2010 April 22, 2010
- 13:50
Banks should get ready to face tougher regulation, Dickson says
Canadian regime will likely see changes
- By: James Langton
- April 22, 2010 April 22, 2010
- 13:22
Flaherty defies IMF, rejects any initiative for global bank tax
Tax would give banks an incentive to behave recklessly, finance minister says
- By: Heather Scoffield
- April 21, 2010 April 21, 2010
- 14:10
MFDA fines Ontario fund salesman for sale of non-approved product
Rosenfelder agrees to $10,000 penalty
- By: IE Staff
- April 21, 2010 April 21, 2010
- 11:11
FINRA releases guidance for investigating private placements
Increase in complaints prompts reminder to firms
- By: James Langton
- April 20, 2010 April 20, 2010
- 15:48
SEC chief says U.S. regulators examining Lehman controversial accounting move
Letters sent to 19 banks, Schapiro says
- By: Alan Zibel
- April 20, 2010 April 20, 2010
- 15:20
NBSC fines two unregistered advisors
Cease-trade orders issued in purported Texas Oil & Gas scheme
- By: IE Staff
- April 20, 2010 April 20, 2010
- 10:28
Failure of Lehman Bros. unavoidable: Bernanke
Regulators had no means of preventing failure
- By: James Langton
- April 19, 2010 April 19, 2010
- 16:03
CRA revokes charitable status of two Toronto agencies over tax scams
Groups operated to promote tax-shelter arrangements, agency alleges
- By: The Canadian Press
- April 19, 2010 April 19, 2010
- 13:45
Fund dealer pays $4,000 for allowing unregistered trades
Portfolio Strategies agrees to pay BCSC
- By: IE Staff
- April 19, 2010 April 19, 2010
- 13:34
CSI to release pass rate data on IIROC courses
Dealers to receive information on aggregate pass rates, number of exam writers
- By: James Langton
- April 19, 2010 April 19, 2010
- 11:36
G20 summit delays testing of business continuity plans: IIROC
Test rescheduled to September 2011
- By: James Langton
- April 19, 2010 April 19, 2010
- 11:20