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
Latest news in From the Regulators
G20 proposals fall short: former superintendent
Le Pan urges finance minister to establish financial stability committee
- By: IE Staff
- September 10, 2009 September 10, 2009
- 12:07
OSC announces commissioner appointments
Carnwath, Akdeniz, Scott each appointed to two-year terms
- By: IE Staff
- September 9, 2009 September 9, 2009
- 16:10
Banking sector regulatory reform efforts falling short: IHS
Lack of details leaves questions of implementation and enforcement unanswered
- By: James Langton
- September 8, 2009 September 8, 2009
- 16:05
Basel Committee sets new capital standards for banks
Measures to strengthen regulation will reduce probability of financial stress, group says
- By: James Langton
- September 8, 2009 September 8, 2009
- 09:50
OSFI issues draft disclosure guideline for DC pension plans
The Office of the Superintendent of Financial Institutions has issued a draft guideline setting out disclosure obligations for defined contribution pension plans.In a letter sent…
- By: James Langton
- September 7, 2009 September 7, 2009
- 14:40
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
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