RCMP cracks down on Quebec fraud ring
Organization allegedly swindled seniors out of savings
- By: The Canadian Press
- December 8, 2009 December 8, 2009
- 12:01
Latest news in From the Regulators
FSA declines to extend compensation code
Remuneration code comes into force for large banks, building societies and broker dealers on Jan. 1
- By: James Langton
- December 8, 2009 December 8, 2009
- 10:29
Coventree, execs face OSC hearing into ABCP debacle
Regulator alleges shortcomings in firm’s disclosure
- By: James Langton
- December 7, 2009 December 7, 2009
- 19:38
IIROC imposes $15,000 fine on Halifax rep
Trenholm failed to properly perform his role as a gatekeeper
- By: IE Staff
- December 7, 2009 December 7, 2009
- 14:48
Quebec tightens financial sector regulation
Legislative amendments include tougher penalties for financial fraud
- By: James Langton
- December 6, 2009 December 6, 2009
- 13:30
OSC, finance minister enter new memorandum of understanding
Both parties committed to a strong and independent commission
- By: James Langton
- December 6, 2009 December 6, 2009
- 12:54
Lawyer says intense publicity hurting accused swindler’s chance at fair trial
Earl Jones to face new charges
- By: Sidhartha Banerjee
- December 6, 2009 December 6, 2009
- 12:23
OECD sets out framework for overhaul of financial regulation
Group calls for increased transparency, more effective surveillance
- By: James Langton
- December 3, 2009 December 3, 2009
- 10:31
OSFI delays start of financial institution stress testing
Guidelines revised in response to industry feedback
- By: James Langton
- December 2, 2009 December 2, 2009
- 17:10
IMF considers tax on financial sector
Analysis to explore whether sector should contribute to the cost of its bailout
- By: James Langton
- December 2, 2009 December 2, 2009
- 12:51
MFDA enhances customer protection coverage
Clarifying changes set to come into effect Jan. 1, 2010
- By: James Langton
- November 30, 2009 November 30, 2009
- 17:16
MFDA approves settlement with IOCT Financial and its president
Bolhuis fined $10,000
- By: IE Staff
- November 29, 2009 November 29, 2009
- 11:40
Investors warned of Texas-based oil and gas investment scheme
Cease-trade orders issued for Oil International LLC, Trinidad Oil and Gas Corp., and Black Gold International Ltd.
- By: IE Staff
- November 29, 2009 November 29, 2009
- 10:10
MFDA adopts International Financial Reporting Standards
IFRS the best approach to ensure consistent, fair and cost-effective oversight continues, regulator says
- By: James Langton
- November 26, 2009 November 26, 2009
- 10:35
MFDA governance by-law challenge in the public interest: BCSC
Panel gives reasons for MFDA governance by-law review
- By: James Langton
- November 25, 2009 November 25, 2009
- 17:15
CSA calls on issuers to make better use of forward-looking information
A number of issuers have been asked to improve their disclosure in future filings
- By: James Langton
- November 22, 2009 November 22, 2009
- 16:11
CSA review of executive compensation disclosure finds room for improvement
Eight firms failed to meet minimum acceptable standards
- By: James Langton
- November 22, 2009 November 22, 2009
- 15:20
Investment banker awarded damages in wrongful dismissal suit
Scotia Capital banker terminated after grieving bonus
- By: James Langton
- November 22, 2009 November 22, 2009
- 14:50
SEC, CFTC reach accord on security-based futures
Joint orders clarify respective jurisdictions
- By: James Langton
- November 20, 2009 November 20, 2009
- 14:33
“High degree of confidence” 10/8 products to survive CRA scrutiny
- By: Kevin Wark
- November 19, 2009 December 15, 2017
- 18:46
IIROC suspends membership of Prodigy Wealth
Client accounts transferred to Canaccord
- By: IE Staff
- November 19, 2009 November 19, 2009
- 16:13
B.C. woman receives three-year ban for illegal distributions
Retired teacher distributed Solara Technologies securities to friends and acquaintances
- By: IE Staff
- November 19, 2009 November 19, 2009
- 15:10
Supervision of financial firms deserves more attention, Dickson says
OSFI is updating its supervisory framework
- By: James Langton
- November 18, 2009 November 18, 2009
- 17:15
FINRA to permanently disclose disciplinary actions against former brokers
SEC approves expansion of BrokerCheck service
- By: James Langton
- November 17, 2009 November 17, 2009
- 16:45