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
Latest news in From the Regulators
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
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
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