FSA’s Turner to head FSB supervisory committee
Inaugural meeting wraps up in Basel
- By: James Langton
- June 29, 2009 June 29, 2009
- 12:50
Latest news in From the Regulators
Madoff gets maximum 150 years for Ponzi scheme
SEC charges two advisors for conducting similar schemes
- By: Megan Harman
- June 29, 2009 June 29, 2009
- 11:43
FSCO eyes point-of-sale disclosure for seg funds
Ontario regulator releases latest statement of priorities
- By: James Langton
- June 29, 2009 June 29, 2009
- 11:10
OSFI proposes key principles for regulatory capital framework for P&C insurance
Implementation expected by 2014
- By: James Langton
- June 29, 2009 June 29, 2009
- 10:37
IOSCO seeks input on disclosure requirements for asset-backed securities
Consultation paper outlines proposed disclosure principles
- By: James Langton
- June 29, 2009 June 29, 2009
- 09:20
MFDA seeks input on governance issues
The Mutual Fund Dealers Association of Canada has issued a report on governance issues for comment.Earlier this year the MFDA published a bulletin concerning the…
- By: James Langton
- June 28, 2009 June 28, 2009
- 15:56
Strong support for Investor Secretariat, says OSC
Regulator releases final version of statement of priorities
- By: James Langton
- June 28, 2009 June 28, 2009
- 15:37
Ex CEO of Southwestern Resources handed lifetime ban
The British Columbia Securities Commission has settled with John Gregory Paterson, the former president and CEO of Southwestern Resources Corp., who admitted to fraud and…
- By: IE Staff
- June 28, 2009 June 28, 2009
- 15:22
ASC cease trades of Sellars Financial Inc.
The Alberta Securities Commission has issued an interim cease trade order against Sellars Financial Inc., Robert John Sellars and Penny Jean Sellars.The order is based…
- By: IE Staff
- June 28, 2009 June 28, 2009
- 11:50
MFDA to extend legal protection to MFDA Investor Protection Corp.
IPC currently not covered
- By: IE Staff
- June 26, 2009 June 26, 2009
- 14:27
UK short selling disclosure regime extended: FSA
The Financial Services Authority has indefinitely extended its disclosure regime for significant net short positions in financial sector stocks, the U.K. regulator said Friday.The new…
- By: James Langton
- June 26, 2009 June 26, 2009
- 11:04
Quebec’s Complaint Reporting System to go nationwide: AMF
System will be accessible to the entire Canadian insurance industry
- By: James Langton
- June 25, 2009 June 25, 2009
- 15:40
UK regulator details retail investment reforms
Proposals aimed at enhancing the quality of advice investors receive
- By: James Langton
- June 25, 2009 June 25, 2009
- 13:33
Fed extends liquidity programs
Reciprocal currency arrangements between the Fed and other central banks have been extended to February 2010
- By: James Langton
- June 25, 2009 June 25, 2009
- 11:45
OSC to review IIROC decision regarding Blackmont trading officer
The Ontario Securities Commission announced on Wednesday that it would consider reviewing a decision by an Investment Industry Regulatory Organization of Canada hearing panel regarding…
- By: Megan Harman
- June 24, 2009 June 24, 2009
- 16:17
Financial crisis has greater than expected impact on emerging markets: IOSCO
The Developing markets have felt the financial crisis more acutely than expected, the Emerging Markets Committee of the International Organization of Securities Commissions said Wednesday.“The…
- By: James Langton
- June 24, 2009 June 24, 2009
- 13:43
IIROC offers guidance on transition to new registration categories
Proposed changes include new “executive” category
- By: James Langton
- June 24, 2009 June 24, 2009
- 10:55
BCSC panel sanctions two Quebec residents for illegal insider trading
Pair illegally purchased shares of Icon Industries
- By: IE Staff
- June 24, 2009 June 24, 2009
- 07:02
OSC dismisses motion to stay IIROC decision
Vitug penalty hearing set for June 24
- By: IE Staff
- June 23, 2009 June 23, 2009
- 15:04
Quebec defends turf on securities regulation
Province will protect its jurisdiction, Bachand says
- By: James Langton
- June 23, 2009 June 23, 2009
- 12:31
Hyndman to lead Canadian Securities Regulator Transition Office
New office to craft a plan for a single regulator
- By: James Langton
- June 22, 2009 June 22, 2009
- 14:35
IOSCO publishes principles for hedge funds regulation
Funds and managers should face mandatory registration
- By: James Langton
- June 22, 2009 June 22, 2009
- 13:50
OSC investigating Manulife
Regulator says company failed to meet disclosure requirements regarding risks related to seg funds
- By: IE Staff
- June 22, 2009 June 22, 2009
- 08:15
SEC charges Caribbean regulator with fraud
Administrator and CEO of Antigua’s Financial Services Regulatory Commission is implicated in Ponzi scheme
- By: James Langton
- June 21, 2009 June 21, 2009
- 15:00
Mutual fund dealers to keep personal corporations?
MFDA proposed amendment would permit remuneration to be directed to unregistered corporations, provided that certain conditions are met
- By: James Langton
- June 21, 2009 June 21, 2009
- 12:48