IOSCO issues recommendations on the securitization and CDS markets
Improved transparency and oversight aimed at restoring investor confidence
- By: James Langton
- September 4, 2009 September 4, 2009
- 10:14
Latest news in From the Regulators
MFDA fines firm for suitability failings
Deficiencies at De Thomas Financial earn $10,000 fine
- By: Megan Harman
- September 4, 2009 September 4, 2009
- 07:31
FSA publishes industry-level complaints data to increase transparency
Figures show how many complaints firms have received and how they have dealt with them
- By: IE Staff
- September 3, 2009 September 3, 2009
- 10:18
OSC hands Lesperance three-year ban
Goldbridge Financial treasurer fined $1,000
- By: Megan Harman
- September 2, 2009 September 2, 2009
- 16:52
MFDA releases policy reference guide
Guide intended to help dealers identify any gaps in their written policies and procedures
- By: IE Staff
- September 2, 2009 September 2, 2009
- 15:54
FINRA settles with three more firms on sale of auction rate securities
Firms failed to provide adequate disclosure to investors
- By: James Langton
- September 2, 2009 September 2, 2009
- 15:43
CFTC implements new transparency measures
Data release aimed at promoting market integrity
- By: James Langton
- September 2, 2009 September 2, 2009
- 13:27
Regulators stress the importance of suitability requirements
Dealers and advisors obligated to “know your client”, “know your product”
- By: IE Staff
- September 2, 2009 September 2, 2009
- 09:45
SEC chief issues warning on broker compensation practices
Open letter sent to U.S. broker-dealer CEOs
- By: James Langton
- August 31, 2009 August 31, 2009
- 15:28
Former Berkshire rep fined $15,000
Griffin violated equity trading rules
- By: IE Staff
- August 31, 2009 August 31, 2009
- 14:31
IIROC fines Toronto rep $15,000
Comeau placed himself in a conflict of interest
- By: IE Staff
- August 31, 2009 August 31, 2009
- 14:10
Ontario appeal court overturns Taub decision
Court affirms SRO’s jurisdiction to pursue wrongdoers who have left the industry
- By: James Langton
- August 31, 2009 August 31, 2009
- 13:28
FASB seeks comments on improvements to fair value measurements
Increased transparency would benefit financial statement users
- By: James Langton
- August 31, 2009 August 31, 2009
- 09:45
Canada signs its first tax information exchange agreement
Agreement with the Netherlands will help authorities combat tax evasion
- By: IE Staff
- August 30, 2009 August 30, 2009
- 15:40
IIROC issues reminder on best execution obligations when trading junior stocks
Firms expected to take into account order and trade information from all marketplaces that trade the same securities
- By: James Langton
- August 30, 2009 August 30, 2009
- 15:30
MFDA fines Alberta fund salesman $250,000
Larson handed permanent ban
- By: IE Staff
- August 30, 2009 August 30, 2009
- 14:24
Tougher penalties eyed for white collar criminals
Harper expresses sympathy for victims of fraud
- By: James Langton
- August 27, 2009 August 27, 2009
- 15:30
Ex-Stanford Financial CFO pleads guilty to fraud
The former chief financial officer of Standford Financial Group, the firm that has been accused of perpetrating a US$7 billion fraud, has pled guilty to…
- By: James Langton
- August 27, 2009 August 27, 2009
- 15:00
Basel Committee overhauls accounting standards
Principles recognize that fair value is not effective when markets become dislocated or are illiquid
- By: James Langton
- August 27, 2009 August 27, 2009
- 13:45
OSFI publishes stress testing guideline for banks and insurance companies
Regulator aiming to establish a standard against which stress testing programs can be evaluated
- By: James Langton
- August 26, 2009 August 26, 2009
- 15:20
ASC settles with Calgary land development company
Foundation Capital to pay $120,000 in settlement and costs
- By: IE Staff
- August 26, 2009 August 26, 2009
- 10:20
MFDA fines N.B. fund salesman $10,000
Business dealings not disclosed to fund dealer
- By: IE Staff
- August 23, 2009 August 23, 2009
- 14:34
IIROC seeks CSA approval for new complaint handling requirements
Regulator intends to co-ordinate with MFDA
- By: James Langton
- August 20, 2009 August 20, 2009
- 15:15
SEC, CFTC to hold joint meetings on regulation harmonization
Meetings will build on the progress made on designing a framework to regulate OTC derivatives
- By: James Langton
- August 20, 2009 August 20, 2009
- 10:37
Money services businesses fined for failing to register with FINTRAC
First time that FINTRAC has used its authority to assess such penalties
- By: IE Staff
- August 20, 2009 August 20, 2009
- 09:33