Former Desjardins Securities rep banned for manipulative trading
IIROC panel orders Shep to pay $100,000
- By: IE Staff
- February 22, 2010 February 22, 2010
- 16:54
Latest news in From the Regulators
Ex-iForum rep ordered to pay $625,000
IIROC panel bans Sarkissian for 44 counts of misconduct
- By: IE Staff
- February 22, 2010 February 22, 2010
- 16:16
Regulators approve changes to MFDA contingency fund
Liability protection extended to MFDA Investor Protection Corp.
- By: James Langton
- February 21, 2010 February 21, 2010
- 15:02
CSA releases schedule of order protection rule milestones
Schedule details deadlines for marketplaces to meet from now until February 2011
- By: James Langton
- February 21, 2010 February 21, 2010
- 11:42
ASC seeks ban against B.C. fraudster
O’Neill admits to running “Pay it Forward” investment scheme
- By: IE Staff
- February 19, 2010 February 19, 2010
- 10:40
Fed raises discount rate to 0.75%
Move will encourage U.S. banks to rely on private funding markets for short-term credit
- By: James Langton
- February 18, 2010 February 18, 2010
- 17:23
IIROC seeks nominations for hearing committees
Applications due by March 17
- By: James Langton
- February 18, 2010 February 18, 2010
- 12:11
Bank of Canada working to make financial system more resilient to shocks
Central bank to maintain flexibility about when and how to intervene in the next crisis
- By: James Langton
- February 17, 2010 February 17, 2010
- 15:51
FINRA proposes to expand BrokerCheck service
Proposed changes will provide additional information to investors
- By: James Langton
- February 17, 2010 February 17, 2010
- 15:24
Two B.C. men disciplined for illegal distribution of foreign securities
15-year ban for Matthew; 5-year ban for Ruthven
- By: IE Staff
- February 17, 2010 February 17, 2010
- 13:35
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
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