IOSCO paper tackles conflicts of interest in private equity firms
Proposed principals set out methods to mitigate potential conflicts
- By: James Langton
- November 3, 2009 November 3, 2009
- 12:25
Latest news in From the Regulators
Ontario court denies insurer’s bid to see woman’s Facebook account
Privacy should be respected, court says
- By: James Langton
- November 3, 2009 November 3, 2009
- 08:23
Scotiabank CEO urges caution with international regulatory reforms
Canada’a system can always be improved, but is not broken
- By: IE Staff
- November 2, 2009 November 2, 2009
- 14:50
Former Investors Group salesman fined $20,000
A hearing panel of the Central Regional Council of the Mutual Fund Dealers Association of Canada Thursday approved a settlement agreement with William Todd Gillick.Gillick…
- By: IE Staff
- November 1, 2009 November 1, 2009
- 16:50
IIROC imposes $35,000 fine on Quebec man
iForum rep failed to inform clients of conflict of interest
- By: IE Staff
- November 1, 2009 November 1, 2009
- 15:01
CSA extends deadline for trade matching requirements
Phase-in period extended
- By: James Langton
- October 30, 2009 October 30, 2009
- 15:37
French, U.S. regulators agree to co-operate on market surveillance and supervision
Agreement establishes formal basis for information sharing
- By: James Langton
- October 29, 2009 October 29, 2009
- 09:46
Ontario to unveil first batch of pension changes next month
Reform will largely be based on recommendations made in the Arthurs Report, Duncan says
- By: Romina Maurino
- October 28, 2009 October 28, 2009
- 20:10
OSC panel dismisses IFB’s request for a hearing on MFDA suspension by-law
Panel won’t overrule policy decision made by the commission as a whole
- By: James Langton
- October 28, 2009 October 28, 2009
- 17:39
Reasserting market discipline top priority for regulators, OSFI head says
Institutions must understand the consequences of poor decisions
- By: James Langton
- October 28, 2009 October 28, 2009
- 15:55
Correction: ASC settles with Lethbridge-based investment promoter
Loman to cease trading in securities for three years
- By: IE Staff
- October 28, 2009 October 28, 2009
- 14:51
Former securities lawyer pleads guilty to criminal insider trading charges
Grmovsek settles with OSC
- By: The Canadian Press
- October 28, 2009 October 28, 2009
- 07:55
MFDA members elect two industry directors
Goldstein and Valenti receive the most votes
- By: James Langton
- October 27, 2009 October 27, 2009
- 15:35
Ottawa moves to modernize federal pension framework
Measures aimed at enhancing protection for plan member, reduce funding volatility for DB plans
- By: IE Staff
- October 27, 2009 October 27, 2009
- 14:03
CFDs will be treated as securities, OSC says
Staff notice sets out investor protection concerns
- By: James Langton
- October 27, 2009 October 27, 2009
- 12:04
‘Comprehensive reform’ to federally regulated pensions on its way: Flaherty
Reforms could include allowing funds to carry a greater surplus
- By: The Canadian Press
- October 26, 2009 October 26, 2009
- 17:15
BCSC orders Ponzi schemers to surrender $16 million in ill-gotten gains
Manna scheme earns foursome $26 million in penalties
- By: IE Staff
- October 26, 2009 October 26, 2009
- 12:45
Alberta ex-broker awarded $2.2 million for wrongful dismissal
Soost terminated by Merrill Lynch in May 2001
- By: James Walker
- October 26, 2009 October 26, 2009
- 11:49
G20 reforms will support long-term economic prosperity, says Carney
Banks urged to consider what are they doing affect systemic risk
- By: IE Staff
- October 26, 2009 October 26, 2009
- 09:10
MFDA withdraws proceedings against New Brunswick man
Penalties imposed by NBSC will protect the public, say MFDA staff
- By: IE Staff
- October 25, 2009 October 25, 2009
- 13:37
MFDA fines Ontario fund salesman $20,000
Horvath permanently banned from conducting securities-related business
- By: IE Staff
- October 25, 2009 October 25, 2009
- 13:15
U.S. Federal Reserve introduces plan to police bank pay
Measures intended to ensure compensation ties rewards to longer-term performance
- By: James Langton
- October 22, 2009 October 22, 2009
- 16:50
ASC confirms IIROC decision in Lamontagne forgery penalty
Alberta man given until Oct. 2010 to pay $35,00 fine
- By: IE Staff
- October 22, 2009 October 22, 2009
- 15:22
SEC shines spotlight on dark pools
Nasdaq to allow firms to separately report dark pool trading activity
- By: James Langton
- October 22, 2009 October 22, 2009
- 10:25
Insurance regulators testing new approach for calculating capital requirements
Study being sent to all federally regulated life insurers
- By: James Langton
- October 22, 2009 October 22, 2009
- 10:10