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
Latest news in From the Regulators
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
OSFI releases guidance on models for capital framework for life insurers
Guidance will help companies make informed decisions
- By: James Langton
- February 3, 2010 February 3, 2010
- 16:40
Bernanke defends Fed’s record during financial crisis
Chairman sworn in for second term
- By: James Langton
- February 3, 2010 February 3, 2010
- 14:50
BCSC panels reciprocate ASC, NBSC, and OSC enforcement orders
Eight persons banned from B.C.’s capital markets
- By: IE Staff
- February 3, 2010 February 3, 2010
- 14:25
CPSS, IOSCO to review standards for payment, clearing and settlement systems
Revised standards due early 2011
- By: James Langton
- February 2, 2010 February 2, 2010
- 11:56
U.S., UK regulators pledge closer co-operation
Efforts between the two agencies are increasing in oversight of credit rating agencies and hedge fund advisors
- By: IE Staff
- February 1, 2010 February 1, 2010
- 16:22
CSA to target fraud, boiler rooms
Report outlines efforts to protect investors and markets
- By: James Langton
- February 1, 2010 February 1, 2010
- 11:20
MFDA fines Ontario couple $2.4 million for bilking investors
22 clients invested $1.58 million in false investments
- By: Megan Harman
- January 28, 2010 January 28, 2010
- 18:00
U.S. Senate confirms Bernanke for a second term
70-30 vote was closest ever for Fed chairman
- By: The Associated Press
- January 28, 2010 January 28, 2010
- 16:48
CFTC fines three Canadian firms for inappropriate trading
Scotia Captial, Pinemore and Birchmore each to pay US$250,000 civil penalty
- By: James Langton
- January 28, 2010 January 28, 2010
- 16:15
Taub settles with IIROC over trading misconduct
Ex-Research Capital rep to pay $65,000
- By: IE Staff
- January 28, 2010 January 28, 2010
- 08:36
SEC approves money market fund reforms
Rules will help reduce risks for investors
- By: James Langton
- January 27, 2010 January 27, 2010
- 17:05
Central banks confirm expiration of temporary swap facility with U.S. Federal Reserve
Fed plans to scale back other liquidity provision mechanisms
- By: James Langton
- January 27, 2010 January 27, 2010
- 15:40
B.C. fund saleswoman disciplined for conducting unregistered trades
Mercury Capital promised to pay investors 25% per month
- By: IE Staff
- January 27, 2010 January 27, 2010
- 10:49
Norbourg fraud trial ends after jurors fail to reach unanimous verdict
Employees accused in investment scam to return to court in March
- By: Sidhartha Banerjee
- January 26, 2010 January 26, 2010
- 17:52
AMF cautions investors to investigate before investing in an RRSP
Regulator publishes investor checklist
- By: James Langton
- January 26, 2010 January 26, 2010
- 11:40