Basel Committee oversight body endorses reform package
Group calls for finalized package of reforms to be delivered by the end of this year
- By: James Langton
- January 11, 2010 January 11, 2010
- 14:11
Latest news in From the Regulators
Basel Committee oversight body endorses reform package
SEC halts alleged oil and gas fraud
Cherokee Gas Systems offering has rasied US$1.4 million from U.S. and Canadian investors
- By: James Langton
- January 10, 2010 January 10, 2010
- 17:00
OSFI committee releases principles for capital framework for P&C insurance
New principles are intended to encourage the use of improved risk-based business decisions
- By: James Langton
- January 10, 2010 January 10, 2010
- 16:37
Joint Forum names new chairman
D’Alosio to succeed Dugan
- By: James Langton
- January 8, 2010 January 8, 2010
- 11:50
Toronto lawyer sentenced to 39 months in prison for insider trading scheme
Grmovsek sentence is the first test of the federal insider trading law
- By: Kristine Owram
- January 8, 2010 January 8, 2010
- 08:10
Fed warns U.S. banks on interest rate risk
Firms are expected to have sound risk-management practices
- By: James Langton
- January 7, 2010 January 7, 2010
- 17:21
Man accused in alleged Ponzi scheme speaks out in own defence
Tang says he’s committed no crime
- By: The Canadian Press
- January 7, 2010 January 7, 2010
- 16:31
IIROC plans enhancements to Complaints and Settlement Reporting System
Dealers required to report detailed client information
- By: James Langton
- January 7, 2010 January 7, 2010
- 13:03
Police looking for alleged fraudster Tang
Toronto police issue arrest warrant
- By: James Langton
- January 6, 2010 January 6, 2010
- 15:06
Firms to pay $138.8 million as ABCP settlements approved
Largest penalty slapped on National Bank Financial
- By: IE Staff
- December 21, 2009 December 21, 2009
- 20:40
National Bank Financial faces $70 million ABCP penalty
Settlement includes $4 million investment in financial education campaign
- By: IE Staff
- December 21, 2009 December 21, 2009
- 17:53
CIBC and HSBC to pay $28 million in ABCP settlement
The Canadian PressTwo major financial institutions accused of misdealings in the asset-backed commercial paper market will have to dole out $28 million in fines and…
- By: The Canadian Press
- December 21, 2009 December 21, 2009
- 17:30
Ex-TD Waterhouse rep fined $70,000 for unauthorized trading, misconduct
Leigh accepted personal loan from clients without the consent of his firm
- By: Megan Harman
- December 21, 2009 December 21, 2009
- 15:45
IIROC complaint-handling standards take effect Feb. 1
New rule sets tighter timeframes for responses to client complaints
- By: IE Staff
- December 21, 2009 December 21, 2009
- 14:50
CSA promotes investor use of National Registration Database
Investors encouraged to check the registration of a financial advisor or firm or
- By: James Langton
- December 21, 2009 December 21, 2009
- 10:45
Regulators approve IIROC and MDFA complaint-handling rules
Goal is to harmonize the requirements used by the CSA and both SROs
- By: James Langton
- December 20, 2009 December 20, 2009
- 16:02
Alberta to test ‘constitutional soundness’ of national securities regulator
Province’s Court of Appeal to hear case
- By: The Canadian Press
- December 20, 2009 December 20, 2009
- 14:15
CSA answers questions about new national registration regime
List created in response to public enquiries
- By: IE Staff
- December 20, 2009 December 20, 2009
- 11:51
CSA takes steps to improve oil and gas disclosure
Comments from stakeholders due March 19
- By: IE Staff
- December 18, 2009 December 18, 2009
- 12:48
ASC issues trading ban against B.C.-based Goldstone Private Equity Partners
Limited partnership has raise $2.45 million from 53 Alberta investors
- By: IE Staff
- December 18, 2009 December 18, 2009
- 11:20
OSC to enhance compliance with corporate sustainability requirements
Regulator plans to conduct compliance review of corporate governance disclosure
- By: IE Staff
- December 18, 2009 December 18, 2009
- 10:58
OSC to consider ABCP settlements with CIBC, HSBC
IIROC to review settlements with Canaccord, Credential, and Scotia Capital
- By: IE Staff
- December 18, 2009 December 18, 2009
- 08:56
BCSC permanently bans man who illegally raised millions for FX trading
$2.6 million in assets will be released to bankruptcy trustee for distribution to investors
- By: IE Staff
- December 17, 2009 December 17, 2009
- 14:50
Basel Committee proposals aim to strengthen resilience of the banking sector
Reform expected to be implemented by the end of 2012
- By: James Langton
- December 17, 2009 December 17, 2009
- 14:30
SEC tightens rules on investment advisors
Rule changes will substantially increase protection for investors
- By: James Langton
- December 17, 2009 December 17, 2009
- 14:01