MFDA appoints three public directors
Appointment fills vacancies in Alberta, B.C. and Ontario
- By: IE Staff
- January 17, 2010 January 17, 2010
- 11:59
Latest news in From the Regulators
Moncton N.B. man banned from trading in securities for 10 years
Murray served two-year prison sentence for fraud
- By: IE Staff
- January 15, 2010 January 15, 2010
- 10:18
Alleged Ponzi schemer is broke, lawyer says
Tang in court on fraud charges
- By: Ciara Byrne
- January 14, 2010 January 14, 2010
- 16:28
U.S. proposes Financial Crisis Responsibility Fee
New tax on big banks could raise up to US$117 billion
- By: James Langton
- January 14, 2010 January 14, 2010
- 16:22
Police arrest alleged fraudster Tang
Regulators allege Ponzi scheme defrauded victims of $30 million
- By: Pat Hewitt
- January 14, 2010 January 14, 2010
- 09:05
SEC creates incentives for individuals, firms to co-operate in investigations
Measures are part of “significant reorganization” of SEC’s enforcement division
- By: James Langton
- January 13, 2010 January 13, 2010
- 17:41
Proposed SEC rule targets unfiltered access to exchanges
Rule would require brokers to establish risk management controls, supervisory procedures
- By: James Langton
- January 13, 2010 January 13, 2010
- 17:26
SEC initiates review of market structure issues
Review to determine whether interests of long-term investors are being served
- By: James Langton
- January 13, 2010 January 13, 2010
- 16:43
Government support of financial sector needs to address specific areas of weakness, says FSB
Financial Stability Board to implement peer reviews to evaluate adherence to international standards
- By: James Langton
- January 12, 2010 January 12, 2010
- 09:47
Groups urge U.S. Senate Banking Committee to improve investor protection
Draft bill would impose fiduciary duty on all who provide investment advice
- By: James Langton
- January 11, 2010 January 11, 2010
- 16:40
Basel Committee oversight body endorses reform package
Group calls for finalized package of reforms to be delivered by the end of this year
- By: James Langton
- January 11, 2010 January 11, 2010
- 14:11
SEC halts alleged oil and gas fraud
Cherokee Gas Systems offering has rasied US$1.4 million from U.S. and Canadian investors
- By: James Langton
- January 10, 2010 January 10, 2010
- 17:00
OSFI committee releases principles for capital framework for P&C insurance
New principles are intended to encourage the use of improved risk-based business decisions
- By: James Langton
- January 10, 2010 January 10, 2010
- 16:37
Joint Forum names new chairman
D’Alosio to succeed Dugan
- By: James Langton
- January 8, 2010 January 8, 2010
- 11:50
Toronto lawyer sentenced to 39 months in prison for insider trading scheme
Grmovsek sentence is the first test of the federal insider trading law
- By: Kristine Owram
- January 8, 2010 January 8, 2010
- 08:10
Fed warns U.S. banks on interest rate risk
Firms are expected to have sound risk-management practices
- By: James Langton
- January 7, 2010 January 7, 2010
- 17:21
Man accused in alleged Ponzi scheme speaks out in own defence
Tang says he’s committed no crime
- By: The Canadian Press
- January 7, 2010 January 7, 2010
- 16:31
IIROC plans enhancements to Complaints and Settlement Reporting System
Dealers required to report detailed client information
- By: James Langton
- January 7, 2010 January 7, 2010
- 13:03
Police looking for alleged fraudster Tang
Toronto police issue arrest warrant
- By: James Langton
- January 6, 2010 January 6, 2010
- 15:06
Firms to pay $138.8 million as ABCP settlements approved
Largest penalty slapped on National Bank Financial
- By: IE Staff
- December 21, 2009 December 21, 2009
- 20:40
National Bank Financial faces $70 million ABCP penalty
Settlement includes $4 million investment in financial education campaign
- By: IE Staff
- December 21, 2009 December 21, 2009
- 17:53
CIBC and HSBC to pay $28 million in ABCP settlement
The Canadian PressTwo major financial institutions accused of misdealings in the asset-backed commercial paper market will have to dole out $28 million in fines and…
- By: The Canadian Press
- December 21, 2009 December 21, 2009
- 17:30
Ex-TD Waterhouse rep fined $70,000 for unauthorized trading, misconduct
Leigh accepted personal loan from clients without the consent of his firm
- By: Megan Harman
- December 21, 2009 December 21, 2009
- 15:45
IIROC complaint-handling standards take effect Feb. 1
New rule sets tighter timeframes for responses to client complaints
- By: IE Staff
- December 21, 2009 December 21, 2009
- 14:50
CSA promotes investor use of National Registration Database
Investors encouraged to check the registration of a financial advisor or firm or
- By: James Langton
- December 21, 2009 December 21, 2009
- 10:45