Exchanges and ATSs to notify OSC of proposed changes to order types
New process recognizes the need for a similar degree of transparency
- By: IE Staff
- October 12, 2009 October 12, 2009
- 16:15
Latest news in From the Regulators
PIS fined $50,000 for compliance failings
Firm must retain independent monitor to resolve compliance deficiencies, MFDA says
- By: Megan Harman
- October 12, 2009 October 12, 2009
- 15:45
Lacroix sentenced to 13 years in prison for fraud
Ex-Norbourg CEO already serving five years for securities violations
- By: The Canadian Press
- October 12, 2009 October 12, 2009
- 11:32
Regulators propose changes to fund prospectus disclosure forms
Amendments aimed at ensuring consistency with new soft-dollar commission rules
- By: James Langton
- October 9, 2009 October 9, 2009
- 14:31
Clark reaches settlement in N.S. securities probe
Activist investment firm to pay $300,000 penalty
- By: IE Staff
- October 9, 2009 October 9, 2009
- 14:04
Former Vancouver resident receives seven-year market ban
Gibson allowed Panama company to resell Rocky Mountain shares to UK investors
- By: IE Staff
- October 9, 2009 October 9, 2009
- 13:54
Converted exempt market dealers get reprieve from quarterly account statements requirements
MFDA members in Ontario and Newfoundland given 2-year transition period
- By: James Langton
- October 9, 2009 October 9, 2009
- 10:39
CSA approves soft-dollar commission rules
New disclosure requirements take effect in June 2010
- By: James Langton
- October 6, 2009 October 6, 2009
- 11:03
FINRA warns of phishing scam
Fake emails promise compensation from auction rate securities settlements
- By: James Langton
- October 5, 2009 October 5, 2009
- 16:30
MFDA members approve governance changes
Number of directors increases to 15
- By: James Langton
- October 5, 2009 October 5, 2009
- 15:50
Review prompts draft guidance on IIROC KYC and suitability guidelines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
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