CSA publishes proposed point-of-sale rule for comment
New rule would require dealers to deliver a basic "fund facts" document at, or before, clients buy a new fund
- By: James Langton
- June 21, 2009 June 21, 2009
- 11:55
Latest news in From the Regulators
Short selling should be subject to appropriate controls: IOSCO
Regulators should also consider a timely reporting regime and an effective compliance and enforcement system for shorts selling
- By: James Langton
- June 19, 2009 June 19, 2009
- 11:01
EU Council agrees to principles for regulatory reform
Council also supports the creation of a European systemic risk board
- By: James Langton
- June 19, 2009 June 19, 2009
- 10:20
Basel Committee, IADI issue deposit insurance principles
The Basel Committee on Banking Supervision and the International Association of Deposit Insurers (IADI) issued the final version of a set of principles to guide…
- By: IE Staff
- June 18, 2009 June 18, 2009
- 14:18
FINRA fines Raymond James, RBC Capital Markets for improper stock loan practices
Firms pay total of US$1.4 million
- By: James Langton
- June 18, 2009 June 18, 2009
- 11:22
U.S. proposes new financial regulations
Plan calls for the creation of a Financial Services Oversight Council
- By: James Langton
- June 17, 2009 June 17, 2009
- 14:24
Florida firm operated boiler room, ASC finds
Regulator calls conduct of Global Petroleum Strategies “egregious”
- By: IE Staff
- June 17, 2009 June 17, 2009
- 11:15
Ex-Golden Capital reps failed to perform gatekeeper roles: IIROC
The Investment Industry Regulatory Organization of Canada has found that two registered representatives at Golden Capital Securities Ltd. failed to properly perform their roles as…
- By: IE Staff
- June 16, 2009 June 16, 2009
- 15:30
CSA urges Canadians to help prevent financial abuse of seniors
World Elder Abuse Awareness Day
- By: IE Staff
- June 15, 2009 June 15, 2009
- 10:35
Quebec court orders banks to reimburse credit card customers
Fees for foreign currency transactions violated province’s consumer protection laws
- By: Megan Harman
- June 14, 2009 June 14, 2009
- 11:03
MFDA seeks input on adoption of IFRS
Not all dealers meet the definition of a publicly accountable enterprise
- By: James Langton
- June 14, 2009 June 14, 2009
- 09:20
New accounting standards change the way U.S. banks account for securitizations: FASB
The Financial Accounting Standards Board issued Friday two new accounting standards designed to address weaknesses in accounting and disclosure standards for off-balance sheet vehicles.FASB says…
- By: James Bagnall
- June 14, 2009 June 14, 2009
- 09:09
CSA gives guidance on transition to new registration regime
National Registration Database to be shut down in September
- By: James Langton
- June 12, 2009 June 12, 2009
- 10:50
IIROC spells out sales obligations for leveraged ETFs
Recommendations to customers must be suitable, regulator says
- By: James Langton
- June 11, 2009 June 11, 2009
- 16:26
IOSCO finalizes policy responses to the financial crisis
Annual conference wraps up in Tel Aviv
- By: James Langton
- June 11, 2009 June 11, 2009
- 15:10
SEC to look at rules to improve proxy disclosure on compensation
The proposals would lead companies to analyze how compensation impacts risk taking and the implications for long-term corporate health
- By: James Langton
- June 10, 2009 June 10, 2009
- 17:12
U.S. “say on pay” legislation on the way: Geithner
U.S. Treasury secretary says the process of bringing compensation practices in line with the interests of shareholders has begun
- By: James Langton
- June 10, 2009 June 10, 2009
- 16:56
Basel Committee expands membership
Argentina, Indonesia, Saudi Arabia, South Africa, Hong Kong and Singapore have been invited to join
- By: James Langton
- June 10, 2009 June 10, 2009
- 16:50
SEC accuses three Canadians of insider trading
Husband of a Merrill Lynch Canada employee tipped information to two others who made trades based on it
- By: James Langton
- June 10, 2009 June 10, 2009
- 16:22
OSC lays charges related to Oversea Chinese Fund LP
The defendants are alleged to have committed securities fraud and to have traded unregistered securities
- By: IE Staff
- June 10, 2009 June 10, 2009
- 13:29
Olson leaving Public Company Accounting Oversight Board
The chairman of the Public Company Accounting Oversight Board, the U.S. auditing oversight body, has stepped down, the PCAOB said Tuesday.Mark Olson is leaving his…
- By: James Langton
- June 9, 2009 June 9, 2009
- 14:59
BCSC alleges fraud in distribution of three securities
No prospectuses filed for Moenkopi Resources, Frey Mining, and Mercury Capital
- By: IE Staff
- June 9, 2009 June 9, 2009
- 14:23
ASC finds Sea Sun Capital and Koch illegally sold securities
The Alberta Securities Commission has found that Sea Sun Capital Corp. and Rodney Koch breached provincial securities laws and acted contrary to the public interest…
- By: IE Staff
- June 8, 2009 June 8, 2009
- 14:30
Deadline looming for Ontario mortgage agents with conditional licences: FSCO
Mortgage broker education and experience exemption also set to expire
- By: James Langton
- June 8, 2009 June 8, 2009
- 14:10
OSC seeks comments on ICE Futures U.S. application
The U.S. firm is proposing to offer direct electronic access to trading in its contracts to Ontario residents
- By: James Langton
- June 7, 2009 June 7, 2009
- 15:13