Bank of Canada working to identify “core” financial markets
Financial crisis a learning opportunity, Longworth says
- By: James Langton
- September 23, 2009 September 23, 2009
- 12:11
Latest news in From the Regulators
IIROC names ADR Chambers arbitration administrator for Western Canada
Firm is now the approved administrator in all provinces and territories except Quebec
- By: James Langton
- September 23, 2009 September 23, 2009
- 11:27
Bank of Canada scales back temporary liquidity measures
Improved market conditions close two programs
- By: James Langton
- September 22, 2009 September 22, 2009
- 15:50
FINRA fines three U.S. investment banks for supervisory failures in Vonage IPO
Violations focused on outsourcing of communications with customers
- By: James Langton
- September 22, 2009 September 22, 2009
- 15:33
Ex-Norbourg CEO pleads guilty to fraud
Trial for co-accused to continue
- By: IE Staff
- September 21, 2009 September 21, 2009
- 13:38
Ontario approves registration reform rules
New regime takes effect Sept. 28
- By: James Walker
- September 21, 2009 September 21, 2009
- 09:30
SEC proposes flash trading ban
Flash orders may create a two-tiered market, regulator says
- By: IE Staff
- September 18, 2009 September 18, 2009
- 13:43
Basel Committee issues report of Cross-border Bank Resolution Group
Recommendations designed to improve the resolution of a failing financial institution that has cross-border activities
- By: James Langton
- September 17, 2009 September 17, 2009
- 15:53
U.S., UK regulators discuss approaches to global regulatory requirements
FSA, SEC identify a common set of data to collect from hedge fund managers
- By: James Langton
- September 16, 2009 September 16, 2009
- 12:57
Feds pledge to get tough on white-collar crime
Proposed legislation would create mandatory jail sentence for serious fraud
- By: James Langton
- September 16, 2009 September 16, 2009
- 10:25
NASAA will continue to defend local regulators amid a push for centralization
State and provincial regulators play an important role, incoming president says
- By: James Langton
- September 15, 2009 September 15, 2009
- 16:24
IIROC bans Vancouver rep for refusal to co-operate with investigation
Lower fined $50,000
- By: IE Staff
- September 15, 2009 September 15, 2009
- 16:02
B.C. moves to improve investor protection
Proposed Insurance Act changes aimed at protecting consumers
- By: James Langton
- September 15, 2009 September 15, 2009
- 15:55
SEC subcommittees to focus investor education and protection
Work of subcommittees to inform regulatory agenda
- By: James Langton
- September 15, 2009 September 15, 2009
- 15:30
Global financial markets are healing: FSB
Much work remains to be done to implement reform agenda
- By: James Langton
- September 15, 2009 September 15, 2009
- 14:02
MFDA issues reminder on registration reform
New CSA rule will spell changes to proficiency requirements, compliance systems, among other things
- By: James Langton
- September 15, 2009 September 15, 2009
- 11:08
Alberta man sought for alleged $100 million Ponzi scheme
Accused partner sanctioned by ASC in 2007
- By: IE Staff
- September 15, 2009 September 15, 2009
- 07:25
IOSCO outlines best practices for fund of hedge funds regulation
Proposals tackle due diligence and liquidity risk
- By: James Langton
- September 14, 2009 September 14, 2009
- 16:01
U.S. administration committed to reforming fiancial industry regulation, Obama says
U.S. Treasury moving into a new phase of stabilization
- By: James Langton
- September 14, 2009 September 14, 2009
- 15:15
BCSC fines Investors Group for registration failing
BCSC fines Investors Group for registration failing
- By: IE Staff
- September 14, 2009 September 14, 2009
- 12:50
Quebec takes action to fight white-collar crime
New team to combat financial fraud
- By: James Langton
- September 14, 2009 September 14, 2009
- 10:48
BCSC issues bans against fraudsters
Investment scheme raised $9.6 million from 943 investors
- By: IE Staff
- September 13, 2009 September 13, 2009
- 11:51
Issuers fail to meet certification obligations: CSA
Only 38% of issuers “substantively” complied with requirements
- By: James Langton
- September 13, 2009 September 13, 2009
- 10:12
Former TD Securities rep fined $130,000
Rail engaged in business activities without knowledge, consent of his firm, IIROC finds
- By: IE Staff
- September 10, 2009 September 10, 2009
- 14:56