MFDA annual meeting set for March 4
Proposed by-law change up in the air
- By: IE Staff
- January 25, 2010 January 25, 2010
- 16:55
Latest news in From the Regulators
FINRA issues guidance on use of social media websites
Social networking sites and blogs raise new regulatory challenges
- By: James Langton
- January 25, 2010 January 25, 2010
- 16:36
OSC fee hike awaiting ministerial approval
Fees to increase annually over three years
- By: James Langton
- January 24, 2010 January 24, 2010
- 15:13
Donations to Haiti earthquake relief will be deductible from 2009 taxes, Quebec says
Donations made between Jan. 12 and Feb. 28 will be eligible
- By: James Langton
- January 24, 2010 January 24, 2010
- 12:09
CSA to adopt new insider reporting regime
New regime consolidates the main requirements and exemptions in a single national instrument, except in Ontario
- By: IE Staff
- January 24, 2010 January 24, 2010
- 11:43
Tang denied bail
Alleged victims of Ponzi scheme have been located in the U.S., China and Canada
- By: Susanna Kelley
- January 22, 2010 January 22, 2010
- 08:37
Alberta regulators accuse Gold Quest International of running Ponzi scheme
Investors’ money used to pay promoters’ personal expenses, ASC alleges
- By: IE Staff
- January 21, 2010 January 21, 2010
- 17:24
Obama calls for restrictions on U.S. banks
Industry groups voice disapproval
- By: James Langton
- January 21, 2010 January 21, 2010
- 13:47
Financial sector in need of regulatory reform: Conference Board
Crisis of 2008 underscores the special role of the global financial system
- By: James Langton
- January 20, 2010 January 20, 2010
- 10:45
U.S. watchdog asked to review Fed bailout of AIG
Fed defends decision
- By: James Langton
- January 19, 2010 January 19, 2010
- 18:10
OSC reports on focused reviews of investment funds
No pervasive compliance problems uncovered
- By: James Langton
- January 19, 2010 January 19, 2010
- 12:45
Bail hearing continues for Weizhen Tang
Man accused of defrauding investors of $30 million to spends another night in jail
- By: The Canadian Press
- January 18, 2010 January 18, 2010
- 17:29
BCSC updates investor guide to working with advisors
Guide stresses the importance of investors really getting involved in their investing
- By: IE Staff
- January 18, 2010 January 18, 2010
- 15:25
Canada to press G7 finance ministers to fix their banks, reform financial system
Flaherty concerned that momentum for reform is waning
- By: Julian Beltrame
- January 18, 2010 January 18, 2010
- 14:04
Fraudster Earl Jones pleads guilty to two fraud related charges
Ponzi scheme defrauded investors of $50 million
- By: Sidhartha Banerjee
- January 17, 2010 January 17, 2010
- 15:40
MFDA appoints three public directors
Appointment fills vacancies in Alberta, B.C. and Ontario
- By: IE Staff
- January 17, 2010 January 17, 2010
- 11:59
Moncton N.B. man banned from trading in securities for 10 years
Murray served two-year prison sentence for fraud
- By: IE Staff
- January 15, 2010 January 15, 2010
- 10:18
Alleged Ponzi schemer is broke, lawyer says
Tang in court on fraud charges
- By: Ciara Byrne
- January 14, 2010 January 14, 2010
- 16:28
U.S. proposes Financial Crisis Responsibility Fee
New tax on big banks could raise up to US$117 billion
- By: James Langton
- January 14, 2010 January 14, 2010
- 16:22
Police arrest alleged fraudster Tang
Regulators allege Ponzi scheme defrauded victims of $30 million
- By: Pat Hewitt
- January 14, 2010 January 14, 2010
- 09:05
SEC creates incentives for individuals, firms to co-operate in investigations
Measures are part of “significant reorganization” of SEC’s enforcement division
- By: James Langton
- January 13, 2010 January 13, 2010
- 17:41
Proposed SEC rule targets unfiltered access to exchanges
Rule would require brokers to establish risk management controls, supervisory procedures
- By: James Langton
- January 13, 2010 January 13, 2010
- 17:26
SEC initiates review of market structure issues
Review to determine whether interests of long-term investors are being served
- By: James Langton
- January 13, 2010 January 13, 2010
- 16:43
Government support of financial sector needs to address specific areas of weakness, says FSB
Financial Stability Board to implement peer reviews to evaluate adherence to international standards
- By: James Langton
- January 12, 2010 January 12, 2010
- 09:47
Groups urge U.S. Senate Banking Committee to improve investor protection
Draft bill would impose fiduciary duty on all who provide investment advice
- By: James Langton
- January 11, 2010 January 11, 2010
- 16:40