Review prompts draft guidance on IIROC KYC and suitability guidelines
Comments due by Dec. 16
- By: James Langton
- October 5, 2009 October 5, 2009
- 14:02
Latest news in From the Regulators
Plans to overhaul of UK liquidity regulation finalized
FSA is the first major regulator to introduce tighter liquidity requirements for firms
- By: James Langton
- October 5, 2009 October 5, 2009
- 12:13
New tool teaches investors to recognize and prevent fraud
B.C. residents more likely to be approached with fraudulent investments
- By: IE Staff
- October 5, 2009 October 5, 2009
- 11:55
Report recommends overhaul of fraud detection at FINRA
Reforms would better safeguard investors and the broader financial system
- By: James Langton
- October 4, 2009 October 4, 2009
- 15:28
OSC to raise fees in fiscal 2011
Increased participation fees designed to allow regulator to reach cost recovery
- By: James Langton
- October 4, 2009 October 4, 2009
- 14:45
New registration regime gives broader powers to IIROC
Regulator will be able to impose conditions on advisor registration at any time
- By: James Langton
- October 4, 2009 October 4, 2009
- 13:18
AMF steps up efforts to educate investors
October is Investor Education Month
- By: James Langton
- October 1, 2009 October 1, 2009
- 16:15
IIROC can pursue former trader, OSC rules
Jurisdiction maintained in review RS decision
- By: Megan Harman
- October 1, 2009 October 1, 2009
- 10:35
SEC, CFTC harmonization report to be released soon
The heads of the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission said Wednesday they will soon release a report recommending…
- By: James Langton
- September 30, 2009 September 30, 2009
- 15:03
B.C. rep fined for failing to perform as gatekeeper
A hearing panel of the Investment Industry Regulatory Organization of Canada has fined a B.C. rep and ordered him to repay commissions for failing to…
- By: IE Staff
- September 30, 2009 September 30, 2009
- 14:50
NBSC prohibits four persons from selling securities
Investigation into CTIC illegal distributions ongoing
- By: IE Staff
- September 30, 2009 September 30, 2009
- 13:44
Canadian businesses granted choice between new “made in Canada” accounting standards or IFRS
Accounting standards for private enterprises in Canada finalized
- By: IE Staff
- September 30, 2009 September 30, 2009
- 13:09
Canadian regulators seek comment on the introduction of dark pools and orders
Issues of transparency, liquidity, fairness and information leakage outlined in consultation paper
- By: James Langton
- September 30, 2009 September 30, 2009
- 11:40
TRACE bond reporting to now cover government agency debt: FINRA
SEC approval of FINRA rule expands TRACE to primary bond market
- September 29, 2009 September 29, 2009
- 15:13
ASC issues “recovery room” warning
York-Rio and TLC Explorations investors targeted by scheme
- By: IE Staff
- September 29, 2009 September 29, 2009
- 14:01
Council of Ministers names interim chair
Alberta’s Evans succeeds Selinger
- By: James Langton
- September 29, 2009 September 29, 2009
- 11:27
National registration regime implemented: CSA
New rules and streamlined process for dealers and advisors launched
- By: IE Staff
- September 28, 2009 September 28, 2009
- 11:41
Saskatchewan cease-trade order issued over inflated shares
SFSC issues temporary ban on two Hong Kong-based companies
- By: IE Staff
- September 28, 2009 September 28, 2009
- 09:50
Canadian regulators prep for changeover to International Financial Reporting Standards
CSA materials aimed at ensuring a smooth transition from current Canadian GAAP to IFRS
- By: IE Staff
- September 27, 2009 September 27, 2009
- 11:05
New forum offers global framework for regulatory co-operation on OTC derivatives
Bank of Canada joins other central banks and regulators
- By: James Langton
- September 24, 2009 September 24, 2009
- 15:39
Prepare for enhanced disclosure on fees and services, advisors told
Client-advisor relationship has become a key area of focus for regulators around the world, IIROC head says
- By: Megan Harman
- September 24, 2009 September 24, 2009
- 14:42
Fed to scale back emergency lending programs
Cuts TAF, TSLF loan amounts
- By: IE Staff
- September 24, 2009 September 24, 2009
- 12:45
Securities transition office to work closely with provinces, Hyndman says
Goal is to design strongest securities regulator in the world
- By: Megan Harman
- September 24, 2009 September 24, 2009
- 11:56
SEC suspends trading in 17 companies to combat corporate hijackings
Seven Canadian firms on temporary suspension list
- By: James Langton
- September 23, 2009 September 23, 2009
- 15:35
Finance proposals intended to streamline GST for financial services sector
Changes improve upon previous draft
- By: IE Staff
- September 23, 2009 September 23, 2009
- 13:50