SEC to consider banning trailer fees
Protecting retail investors should be regulator’s top priority, Shapiro says
- By: James Langton
- December 4, 2009 December 4, 2009
- 11:53
Latest news in From the Regulators
OECD sets out framework for overhaul of financial regulation
Group calls for increased transparency, more effective surveillance
- By: James Langton
- December 3, 2009 December 3, 2009
- 10:31
OSFI delays start of financial institution stress testing
Guidelines revised in response to industry feedback
- By: James Langton
- December 2, 2009 December 2, 2009
- 17:10
IMF considers tax on financial sector
Analysis to explore whether sector should contribute to the cost of its bailout
- By: James Langton
- December 2, 2009 December 2, 2009
- 12:51
MFDA enhances customer protection coverage
Clarifying changes set to come into effect Jan. 1, 2010
- By: James Langton
- November 30, 2009 November 30, 2009
- 17:16
MFDA approves settlement with IOCT Financial and its president
Bolhuis fined $10,000
- By: IE Staff
- November 29, 2009 November 29, 2009
- 11:40
Investors warned of Texas-based oil and gas investment scheme
Cease-trade orders issued for Oil International LLC, Trinidad Oil and Gas Corp., and Black Gold International Ltd.
- By: IE Staff
- November 29, 2009 November 29, 2009
- 10:10
MFDA adopts International Financial Reporting Standards
IFRS the best approach to ensure consistent, fair and cost-effective oversight continues, regulator says
- By: James Langton
- November 26, 2009 November 26, 2009
- 10:35
MFDA governance by-law challenge in the public interest: BCSC
Panel gives reasons for MFDA governance by-law review
- By: James Langton
- November 25, 2009 November 25, 2009
- 17:15
CSA calls on issuers to make better use of forward-looking information
A number of issuers have been asked to improve their disclosure in future filings
- By: James Langton
- November 22, 2009 November 22, 2009
- 16:11
CSA review of executive compensation disclosure finds room for improvement
Eight firms failed to meet minimum acceptable standards
- By: James Langton
- November 22, 2009 November 22, 2009
- 15:20
Investment banker awarded damages in wrongful dismissal suit
Scotia Capital banker terminated after grieving bonus
- By: James Langton
- November 22, 2009 November 22, 2009
- 14:50
SEC, CFTC reach accord on security-based futures
Joint orders clarify respective jurisdictions
- By: James Langton
- November 20, 2009 November 20, 2009
- 14:33
“High degree of confidence” 10/8 products to survive CRA scrutiny
- By: Kevin Wark
- November 19, 2009 December 15, 2017
- 18:46
IIROC suspends membership of Prodigy Wealth
Client accounts transferred to Canaccord
- By: IE Staff
- November 19, 2009 November 19, 2009
- 16:13
B.C. woman receives three-year ban for illegal distributions
Retired teacher distributed Solara Technologies securities to friends and acquaintances
- By: IE Staff
- November 19, 2009 November 19, 2009
- 15:10
Supervision of financial firms deserves more attention, Dickson says
OSFI is updating its supervisory framework
- By: James Langton
- November 18, 2009 November 18, 2009
- 17:15
FINRA to permanently disclose disciplinary actions against former brokers
SEC approves expansion of BrokerCheck service
- By: James Langton
- November 17, 2009 November 17, 2009
- 16:45
Questrade to face IIROC penalty hearing
Discount brokerage ignored regulator’s warning on client margin rates
- By: IE Staff
- November 17, 2009 November 17, 2009
- 16:36
IIROC bans ex-Northern Securities rep
Smith failed to co-operate with investigation
- By: IE Staff
- November 17, 2009 November 17, 2009
- 15:27
U.S. launches financial crime task force
Inter-agency task force will build upon efforts to combat mortgage, securities and corporate fraud
- By: James Langton
- November 17, 2009 November 17, 2009
- 14:20
Financial crime watchdog trimmed despite growing demand
Police agencies are making use of FINTRAC when conducting their investigations
- By: Steve Thorne
- November 17, 2009 November 17, 2009
- 12:21
OSC extends cease-trade order against Weizhen Tang
Hearing adjourned until June 2010
- By: IE Staff
- November 16, 2009 November 16, 2009
- 16:00
IOSCO proposes principles for point of sale disclosure for investment funds
Financial crisis has highlighted the critical role disclosure can play
- By: James Langton
- November 16, 2009 November 16, 2009
- 11:57
Life insurers advised to pay attention to bank regulation reform
Lessons of the financial crisis apply equally to all financial institutions, OSFI head says
- By: James Langton
- November 15, 2009 November 15, 2009
- 17:08