SEC charges Goldman Sachs for defrauding investors
Investors allegedly lost more than $1 billion
- By: James Langton
- April 18, 2010 April 18, 2010
- 10:35
Latest news in From the Regulators
Private pension plans still face funding challenges: OSFI
Many plan sponsors will be required to make significant special payments
- By: James Langton
- April 15, 2010 April 15, 2010
- 16:25
SEC, NY AG settle with private equity firm over kickback scheme
Quadrangle agrees to pay US$12 million in penalties
- April 15, 2010 April 15, 2010
- 12:13
EU directive could hamper growth of Canadian hedge funds
Alternative investment industry warns of damaging effects of proposed rules
- By: Megan Harman
- April 15, 2010 April 15, 2010
- 10:39
Flaherty tells G20 ‘no’ on bank tax
Finance minister says scheme will encourage risk taking
- By: Julian Beltrame
- April 15, 2010 April 15, 2010
- 07:46
Time for real regulatory reform is now, NASAA tells U.S. Congress
State securities regulators “profoundly disappointed” by latest Senate bill
- By: James Langton
- April 14, 2010 April 14, 2010
- 17:50
MFDA fines former Manulife Securities fund salesperson $40,000
Investments recommended by Irwin had not been approved for sale by firm
- By: IE Staff
- April 14, 2010 April 14, 2010
- 17:27
SEC proposes reporting system for large traders
New cap on options fees also proposed
- By: James Langton
- April 14, 2010 April 14, 2010
- 15:45
Former CIBC World Markets rep fined $100,000
Phillips made unauthorized trades, personally covered client losses, IIROC finds
- By: IE Staff
- April 14, 2010 April 14, 2010
- 15:44
OSFI issues guidance on new mortgage insurance regulations
Note provides clarity on the cost of mortgage insurance to borrowers
- By: James Langton
- April 14, 2010 April 14, 2010
- 12:03
EU regulators propose changes to MiFID
Three reports identify areas for improvement
- By: James Langton
- April 13, 2010 April 13, 2010
- 13:35
UK regulator fines and bans former executives of credit crunch casualty Northern Rock
FSA takes action against senior directors
- By: Jane Wardell
- April 13, 2010 April 13, 2010
- 07:26
CSA proposes overhaul of shareholder communication rules
Changes would enable shareholders to receive materials electronically
- By: James Langton
- April 11, 2010 April 11, 2010
- 11:50
BCSC issues permanent ban against Genius Funds
Cyprus-based company illegally sold securities
- By: IE Staff
- April 11, 2010 April 11, 2010
- 08:45
NBF branch manager fined $30,000
Bouchard permanently barred from approval as branch manager
- By: Megan Harman
- April 8, 2010 April 8, 2010
- 15:59
IOSCO releases disclosure principles for asset-backed securities
Goal is to enhance investor protection
- By: James Langton
- April 8, 2010 April 8, 2010
- 11:44
SEC proposes tighter regulation of asset-backed securities
Securities industry cautiously supportive
- By: James Langton
- April 7, 2010 April 7, 2010
- 15:41
OSFI outlines key challenges
Federal regulator releases plans and priorities for 2010-2013
- By: James Langton
- April 7, 2010 April 7, 2010
- 11:26
NBSC bans two B.C. residents from securities industry
O’Neill, Helmig banned for their roles in “Pay it Forward” scheme
- By: IE Staff
- April 7, 2010 April 7, 2010
- 07:35
N.B. manager fined and suspended
IIROC orders Bardsley to pay $30,000 in fines and costs
- By: IE Staff
- April 6, 2010 April 6, 2010
- 15:15
OSC releases new set of allegations against Sextant Capital
Hearing scheduled for May
- By: Megan Harman
- April 5, 2010 April 5, 2010
- 15:14
OSC alleges IR firm made fraudulent postings in online forums
Agroacom denies regulator’s allegations
- By: James Langton
- April 5, 2010 April 5, 2010
- 08:50
AMF warns investors about cold calls from Heritage Benefits
Unregistered firm may be operating out of Montreal
- By: Megan Harman
- April 4, 2010 April 4, 2010
- 09:53
OSFI taking new approach to regulation of reinsurance
Paper outlines impending reforms to reinsurance regulatory and supervisory framework
- By: James Langton
- March 31, 2010 March 31, 2010
- 16:46
OSC’s Wilson paid $668,000 in 2009
Compensation dips for top-paid Ontario securities regulators
- By: IE Staff
- March 31, 2010 March 31, 2010
- 15:45