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…
Regulator seeks comment on survey results
OSC to review decision
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…
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…
The Basel Committee on Banking Supervision has approved a series of measures designed to strengthen the capital adequacy framework for large, global banks.The latest package…
$50 million diverted in a kind of Ponzi scheme, regulator says
But the court has delayed the order for a year to give B.C.’s legislature time to deal with the matter
Investment counsel and portfolio managers, limited market dealers and exchange contracts dealers are among those who will be required to use IFRS
Member confusion has led the MFDA to rescind some amendments to rules concerning businesses names and borrowing for securities purchases
The British regulator’s new rules are designed to allow consumers to see how firms are handling their complaints
Lawrence Ritchie assumes role of executive vice president and senior policy advisor
The province views the federal government’s decision to create a Canadian securities commission as an “encroachment” on its jurisdiction
The regulator is working to enhance the adjudicative case-management process to increase responsiveness and efficiency
Under the new proposals, fines would be linked more closely to the income from the product or business area linked to a breach
OSC granted authority to take immediate action in extraordinary circumstances
Changes will provide greater clarity, CEO says
Consultation paper outlines proposed changes
Investors urged to seek professional advice
Guide identifies filing fees in all Canadian jurisdictions
Proposals would give shareholders say on TARP pay
Bank website is not a branch, regulator says
Igra failed to ensure clients qualified as accredited investors
Insurance regulators take “access equals delivery” approach
Regulators must focus on the stability of the system as a whole as well as individual institutions