NBSC issues warning about Genius Funds
Alert follows temporary cease trade order issued by BCSC
- By: IE Staff
- February 17, 2010 February 17, 2010
- 12:57
Latest news in From the Regulators
CSA contest promotes financial literacy for youth
Canadians aged 15 to 21 to be quizzed on budgeting, saving, investing
- By: IE Staff
- February 17, 2010 February 17, 2010
- 11:45
ASC provides limited relief for exempt market dealers
Blanket order offers relief to small subset of dealers
- By: James Langton
- February 16, 2010 February 16, 2010
- 17:31
Ottawa tightens mortgage rules
Stiffer criteria aimed at strengthening housing financing market
- By: The Canadian Press
- February 16, 2010 February 16, 2010
- 08:35
Ottawa to impose stricter mortgage rules
Flaherty worried Canadians may be taking on too much debt
- By: Julian Beltrame
- February 15, 2010 February 15, 2010
- 16:55
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
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