Disgraced financier Jones gets 11 year sentence for orchestrating massive fraud scheme
Victims of $50-million scam included family and friends
- By: Sidhartha Banerjee
- February 15, 2010 February 15, 2010
- 15:51
Latest news in From the Regulators
AMF sanctions total $82 million in year of economic crimes
Quebec regulator reports enforcement activity in 2009
- By: James Langton
- February 15, 2010 February 15, 2010
- 15:26
OSC urged to create panel for small investors
FAIR Canada calls on the OSC to appoint a commissioner with a strong retail investor perspective
- By: James Langton
- February 15, 2010 February 15, 2010
- 12:21
BCSC issues temporary order against Cyprus-based website operator
Genius Funds prohibited from trading in any securities in B.C.
- By: IE Staff
- February 15, 2010 February 15, 2010
- 12:05
MFDA calls for nominations to regional councils
Nomination period runs until March 26
- By: IE Staff
- February 11, 2010 February 11, 2010
- 16:10
Bernanke outlines Fed strategy for reeling in stimulus money
No indication of a near-term shift in the Fed’s monetary policy stance
- By: James Langton
- February 10, 2010 February 10, 2010
- 16:33
Compliance exams reveal concerns surrounding referral arrangements: MFDA
Reps acting contrary to MFDA rules
- By: James Langton
- February 10, 2010 February 10, 2010
- 12:44
Basel Committee seeks input on supervising microfinance activities
Report highlights four key concerns
- By: James Langton
- February 9, 2010 February 9, 2010
- 12:15
Ex-Blackmont branch manager fined $50,000
Donnelly failed to adequately supervise two reps
- By: IE Staff
- February 9, 2010 February 9, 2010
- 11:55
Provincial ministers reaffirm commitment to harmonized securities regulation
The provincial ministers that currently oversee securities regulation in Canada, and have been championing a passport system among the provinces, are now waiting to see…
- By: James Langton
- February 8, 2010 February 8, 2010
- 16:33
AMF enhances derivatives oversight expertise
Regulator’s staff review the latest techniques for investigating and detecting fraud
- By: IE Staff
- February 8, 2010 February 8, 2010
- 09:40
G7 ministers determined to hold banks responsible for future risky actions
IMF studying mechanism for holding financial institutions responsible
- By: Julian Beltrame
- February 8, 2010 February 8, 2010
- 07:50
IIROC releases draft on the distribution of “non-arm’s length” investment products
Connection between dealer and issuer may result in conflicts of interest
- By: James Langton
- February 7, 2010 February 7, 2010
- 15:13
Alberta takes next step to challenge Ottawa’s move to create national securities regulator
Reference questions filed with Alberta Court of Appeal
- By: James Langton
- February 7, 2010 February 7, 2010
- 13:15
Flaherty calls on G7 ministers to come up with common strategy on bank reform
G7 finance ministers gather in Iqaluit
- February 7, 2010 February 7, 2010
- 12:57
BCSC panel permanently bans man convicted of contravening U.S. securities laws
Wong sentenced to prison after pleading guilty
- By: IE Staff
- February 5, 2010 February 5, 2010
- 14:45
Investors require more disclosure on IFRS transition, OSC review shows
Companies will need to provide more information about their transition plans
- By: IE Staff
- February 5, 2010 February 5, 2010
- 11:52
Illegal distributions and registrant misconduct top NBSC investor complaints list
Commission using Internet surveillance tool to identify potentially fraudulent investment websites
- By: James Langton
- February 5, 2010 February 5, 2010
- 10:35
Bank of American to pay US$150 million to settle SEC charges
Firm faces lawsuit from N.Y. attorney general over Merrill Lynch merger
- By: James Langton
- February 4, 2010 February 4, 2010
- 14:35
State Street to pay US$300 million after SEC lawsuit
Regulator alleges firm misled investors about subprime investments
- By: James Langton
- February 4, 2010 February 4, 2010
- 14:31
OSFI releases guidance on models for capital framework for life insurers
Guidance will help companies make informed decisions
- By: James Langton
- February 3, 2010 February 3, 2010
- 16:40
Bernanke defends Fed’s record during financial crisis
Chairman sworn in for second term
- By: James Langton
- February 3, 2010 February 3, 2010
- 14:50
BCSC panels reciprocate ASC, NBSC, and OSC enforcement orders
Eight persons banned from B.C.’s capital markets
- By: IE Staff
- February 3, 2010 February 3, 2010
- 14:25
CPSS, IOSCO to review standards for payment, clearing and settlement systems
Revised standards due early 2011
- By: James Langton
- February 2, 2010 February 2, 2010
- 11:56
U.S., UK regulators pledge closer co-operation
Efforts between the two agencies are increasing in oversight of credit rating agencies and hedge fund advisors
- By: IE Staff
- February 1, 2010 February 1, 2010
- 16:22