MFDA takes steps to boost policy development transparency
Regulator aims to improve the pre-consultation process for major rule initiatives
- By: James Langton
- July 28, 2009 July 28, 2009
- 15:43
Latest news in From the Regulators
FINRA fines brokerages for unsuitable short-term sales of closed-end funds
Investors get more than US$5 million in remediation
- By: James Langton
- July 28, 2009 July 28, 2009
- 15:30
SEC alleges unlawful insider trading before Nova Chemicals merger
SEC alleges unlawful insider trading before Nova Chemicals merger
- By: James Langton
- July 28, 2009 July 28, 2009
- 15:20
Earl Jones released on bail
Jones to return to court in September
- By: IE Staff
- July 28, 2009 July 28, 2009
- 14:20
IIROC brochure focuses on investor protection
Brochure provides directions on how to check the registration status of an advisor
- By: IE Staff
- July 28, 2009 July 28, 2009
- 10:40
IIROC fines IB Canada $40,000
A hearing panel of Investment Industry Regulatory Organization of Canada (IIROC) has fined Interactive Brokers Canada Inc. (IB Canada) for failing to report financial information…
- By: IE Staff
- July 27, 2009 July 27, 2009
- 15:40
Earl Jones arrested in Quebec
Advisor suspected of diverting as much as $50 million from clients
- By: IE Staff
- July 27, 2009 July 27, 2009
- 13:28
SEC to curtail abusive short sales
Measure designed to improve market transparency
- By: James Langton
- July 27, 2009 July 27, 2009
- 13:10
IIROC, FINRA announce co-operation agreement
Increased collaboration will benefit investors
- By: IE Staff
- July 27, 2009 July 27, 2009
- 11:01
Fund companies get two more years to distribute market-timing settlement funds
OSC sets 2011 as “final” deadline
- By: Megan Harman
- July 27, 2009 July 27, 2009
- 10:50
New York Fed creates investor advisory committee
The Federal Reserve Bank of New York Friday announced the establishment of a investor advisory committee to facilitate policy discussions.The NY Fed’s Investor Advisory Committee…
- By: James Langton
- July 26, 2009 July 26, 2009
- 15:45
Number of continuous disclosure reviews up 28% in 2009
Number of continuous disclosure reviews up 28% in 2009
- By: IE Staff
- July 26, 2009 July 26, 2009
- 10:30
UK regulator fines HSBC firms for information security failings
Firms lost unencrypted disks containing clients’ private information
- By: James Langton
- July 22, 2009 July 22, 2009
- 07:55
SEC charges TD Ameritrade for auction rate securities sales practices
Settlement enables ARS customers to receive all of their money back
- By: James Langton
- July 20, 2009 July 20, 2009
- 12:39
Hedge fund manager placed in receivership
Court endorses PwC as manager of Sextant funds
- By: IE Staff
- July 20, 2009 July 20, 2009
- 08:06
IIROC approves amendments to implement the CSA’s registration reform
Changes give members greater flexibility in designing their compliance systems
- By: James Langton
- July 19, 2009 July 19, 2009
- 13:00
Final rules implementing new national registration regime published: CSA
Rules come into force on Sept. 28
- By: James Langton
- July 19, 2009 July 19, 2009
- 11:02
U.S. Treasury introduces draft say on pay legislation
The U.S. Treasury Thursday introduced draft legislation requiring say on pay votes at public companies, and increased independence for firms' compensation committees.
- By: James Langton
- July 16, 2009 July 16, 2009
- 15:40
SEC charges 11 for insider trading ahead of merger announcements
The U.S. Securities and Exchange Commission has charged 11 individuals who it alleges were involved in separate insider trading schemes ahead of corporate merger announcements,…
- By: James Langton
- July 15, 2009 July 15, 2009
- 15:53
OSC upholds decision of IDA hearing panel regarding Kasman and Anderson
Panel decision based on appropriate principles, OSC says
- By: IE Staff
- July 15, 2009 July 15, 2009
- 15:10
Winnipeg rep banned for sharing a financial interest in an account with a client
A hearing panel of the Investment Industry Regulatory Organization of Canada has permanently banned a Winnipeg options representative for sharing a financial interest in an…
- By: IE Staff
- July 14, 2009 July 14, 2009
- 15:32
IIROC staff recommend all dealers adopt IFRS
Regulator seeks comment on survey results
- By: James Langton
- July 14, 2009 July 14, 2009
- 14:20
Blackmont trading officer fined $350,000 by IIROC
OSC to review decision
- By: Megan Harman
- July 14, 2009 July 14, 2009
- 14:15
SEC names Crawford to oversee diversity initiatives
The U.S. Securities and Exchange Commission has created a new position to lead its pursuit of diversity in the workplace.The SEC announced that Ronald Crawford…
- By: IE Staff
- July 13, 2009 July 13, 2009
- 15:10
IOSCO publishes exchange outsourcing guidelines
The International Organization of Securities Commissions’ Technical Committee has published a final report setting out principles designed to guide exchanges, and their regulators, when considering…
- By: James Langton
- July 13, 2009 July 13, 2009
- 14:49