SEC taking new approach to fighting fraud
Regulator to establish five specialized units
- By: James Langton
- March 22, 2010 March 22, 2010
- 15:27
Latest news in From the Regulators
Crown seeks prison time for former N.S. advisor
MacDonald pleaded guilty to stealing from eight victims
- By: The Canadian Press
- March 22, 2010 March 22, 2010
- 13:23
OSFI seeks comment on proposed changes to capital requirements for life insurers
Guideline defines capital available to meet minimum standard
- By: James Langton
- March 22, 2010 March 22, 2010
- 12:24
ASC extends cease trade of Cyprus-based Genius Funds
Regulator alleges illegal trading and distribution of securities
- March 21, 2010 March 21, 2010
- 16:35
OSC accepting applications for investor advisory committee
Panel will have defined budget, administrative support, and compensation for participants
- By: James Langton
- March 21, 2010 March 21, 2010
- 14:47
IIROC bans Vancouver rep
Fearn fined $50,000 for failing to co-operate with an investigation
- By: IE Staff
- March 21, 2010 March 21, 2010
- 13:45
OSC announces new requirement for clearing agency recognition
Mandatory recognition for entities that perform central depository, central counter-party, or guarantor functions
- By: IE Staff
- March 21, 2010 March 21, 2010
- 10:37
Alberta moves to strengthen securities legislation
Province continues to oppose national securities regulator
- By: James Langton
- March 21, 2010 March 21, 2010
- 09:19
G20 must continue to provide economic stimulus: Harper
PM lays out goals for Toronto summit
- By: James Langton
- March 18, 2010 March 18, 2010
- 13:55
Basel Committee issues recommendations for strengthening cross-border banks
Banks and regulators should develop plans to promote resiliency in periods of severe financial distress
- By: James Langton
- March 18, 2010 March 18, 2010
- 09:37
SEC looking for 12% funding increase
Staff increase would beef up enforcement
- By: James Langton
- March 17, 2010 March 17, 2010
- 13:24
U.S. banking agencies issue policy statement on funding and liquidity risk management
Guidance incorporates principles issued by the Basel Committee
- By: James Langton
- March 17, 2010 March 17, 2010
- 13:14
FSA to increase staff
UK regulator publishes business plan for 2010/11
- By: James Langton
- March 17, 2010 March 17, 2010
- 10:13
Federal Reserve holds interest rates
Economists expect interest rates hikes later this year or early next year
- By: James Langton
- March 16, 2010 March 16, 2010
- 19:41
Financial regulatory reform bill falls short: NASAA
Group calls for fiduciary standards for anyone giving investment advice
- By: James Langton
- March 16, 2010 March 16, 2010
- 19:27
Shady tax preparers will be penalized: CRA
Dozens of audits involving tax preparers and promoters are underway
- By: James Langton
- March 16, 2010 March 16, 2010
- 15:59
Basel Committee proposes principles to enhance corporate governance at banks
Deficiencies became apparent during financial crisis, committee says
- By: James Langton
- March 16, 2010 March 16, 2010
- 09:39
Flaherty says European proposal to tax banks ‘a mistake’
Regulators abroad should follow the Canadian example, finance minister says
- By: Julian Beltrame
- March 16, 2010 March 16, 2010
- 07:36
Dodd proposes overhaul of U.S. financial regulation
Reforms include new consumer watchdog; self-funded SEC
- By: James Langton
- March 15, 2010 March 15, 2010
- 15:12
Quebec investors gain access to foreign derivatives exchange
Eurex receives regulatory approval from AMF
- By: James Langton
- March 15, 2010 March 15, 2010
- 09:03
IIROC imposes ban on former TD Waterhouse rep
Cornacchia admitted to three violations
- By: IE Staff
- March 14, 2010 March 14, 2010
- 14:58
BCSC issues temporary order against financial planner
Planner, B.C. company allegedly distributed securities illegally
- By: IE Staff
- March 14, 2010 March 14, 2010
- 14:28
Regulators must be more proactive: FSA
British regulator to step up consumer protection efforts
- By: James Langton
- March 14, 2010 March 14, 2010
- 14:02
IIROC orders CIBC World Markets rep to pay $5,000
Sanctions from Calgary rep’s firm total nearly $140,000
- By: IE Staff
- March 14, 2010 March 14, 2010
- 13:48
Hockey dad accused of bilking friends in investment scam
Suspect arrested on numerous fraud-related charges
- By: The Canadian Press
- March 14, 2010 March 14, 2010
- 09:20