FSA urges firms to stress-test for more severe scenarios
Regulator to intensify supervision of firms, address deficiencies in risk management
- By: James Langton
- March 10, 2010 March 10, 2010
- 13:37
Latest news in From the Regulators
New York court imposes $150,000 fine against former BMO executive
Charges for supervisory failures settled by CFTC
- By: James Langton
- March 9, 2010 March 9, 2010
- 15:16
Vancouver man found guilty in Florida securities scheme
A jury in Florida has found a Canadian man guilty in a pump-and-dump case, the U.S. Securities and Exchange Commission announced Monday.The SEC reports that…
- By: James Langton
- March 8, 2010 March 8, 2010
- 17:40
MFDA members approve new directors
Public, industry directors approved at AGM
- By: IE Staff
- March 8, 2010 March 8, 2010
- 15:08
Premature to increase liquidity requirements for UK banks: FSA
Regulator to review is position in Q4
- By: James Langton
- March 8, 2010 March 8, 2010
- 11:29
CSA, IIROC to host dark pool forum
March 23 event to discuss consultation paper
- By: James Langton
- March 7, 2010 March 7, 2010
- 16:55
B.C. fraudster handed 9-year sentence
Thow motivated by simple greed, judge concludes
- By: The Canadian Press
- March 4, 2010 March 4, 2010
- 20:16
IIF group issues warning on market risks
Uncertainty surrounding regulatory reforms facing financial firms a cause for concern
- By: James Langton
- March 3, 2010 March 3, 2010
- 13:02
IIROC orders Montreal broker to pay back trading profit
Brockhouse & Cooper rep traded on inside information
- By: IE Staff
- March 2, 2010 March 2, 2010
- 16:21
Former Victoria financial advisor pleads guilty to 20 counts of fraud
Thow persuaded investors to put their money into non-existent securities
- By: The Canadian Press
- March 2, 2010 March 2, 2010
- 08:30
Transition to single regulator sparks concern about resource constraints
Council of Ministers of Securities Regulation releases progress report
- By: IE Staff
- March 1, 2010 March 1, 2010
- 18:28
FINRA expands bond trade reporting system
TRACE expansion will will significantly enhance the transparency in the debt markets
- By: James Langton
- March 1, 2010 March 1, 2010
- 17:47
CSA offers fraud protection tips for investors, advisors
Protection from investment fraud a shared responsibility
- By: Megan Harman
- March 1, 2010 March 1, 2010
- 12:07
CSA blanket orders grant exemptions from certain registration requirements
The Canadian Securities Administrators has granted a series of exemptions from registration requirements introduced as part of the registration reform that was implemented last fall.CSA…
- By: James Langton
- February 28, 2010 February 28, 2010
- 17:26
Investor Advisory Panel to give input on OSC initiatives
Applications will be solicited within a few weeks
- By: James Langton
- February 28, 2010 February 28, 2010
- 16:21
Canadian facing US$21.25 million in fines for manipulating 4 microcap stocks
Georgiou convicted of fraud in U.S. court
- By: James Langton
- February 28, 2010 February 28, 2010
- 15:35
Ex-Canaccord rep dealt 10-year suspension
Vancouver broker borrowed money from clients
- By: IE Staff
- February 25, 2010 February 25, 2010
- 17:47
MFDA disciplines London, Ont. branch manager
DFS investments manager fined $10,000 for lax supervision
- By: IE Staff
- February 25, 2010 February 25, 2010
- 16:54
SEC decision on IFRS to wait until 2011
U.S. regulator approves statement on global accounting standards
- By: James Langton
- February 24, 2010 February 24, 2010
- 17:22
SEC approves short selling restrictions
SIFMA unconvinced rule will benefit investors
- By: James Langton
- February 24, 2010 February 24, 2010
- 16:30
Canadian couple ordered to disgorge US$1 million in profits from MDS offer
U.S. court enters judgment against Suman, Rahman; pair fined US$3million
- By: James Langton
- February 24, 2010 February 24, 2010
- 08:52
ASC extends cease trade order against Focused Money Solutions, DeLaet
Regulator alleges misleading statements made to investors
- By: IE Staff
- February 23, 2010 February 23, 2010
- 15:24
IOSCO publishes principles for periodic financial disclosure
Periodic reports enhance investor protection
- By: James Langton
- February 23, 2010 February 23, 2010
- 10:15
SEC takes steps to educate investors about proxy voting
Proxy rules amended to offer “e-proxy” flexibility
- By: James Langton
- February 22, 2010 February 22, 2010
- 17:24
Former Haywood broker fined $40,000 for breach of KYC rule
Higgs effected trades in the accounts of clients based on the instructions of a third party
- By: Megan Harman
- February 22, 2010 February 22, 2010
- 17:09