TMX to act as information processor
Investors and market participants will now have access to information from all marketplaces
- By: IE Staff
- June 5, 2009 June 5, 2009
- 08:07
Latest news in From the Regulators
SEC plans investor advisory committee
The U.S. Securities and Exchange Commission is the latest securities regulator to announce the creation of an investor advisory committee to give investors a greater…
- By: James Langton
- June 3, 2009 June 3, 2009
- 16:30
SEC finalizes auction rate securities settlements with three firms
The U.S. Securities and Exchange Commission announced finalized settlements with RBC Capital Markets, Bank of America, and Deutsche Bank, to resolve charges that they misled…
- By: James Langton
- June 3, 2009 June 3, 2009
- 16:15
IMF seeking effective ways of overseeing cross-border financial firms
Financial crisis underlines need for regulators to focus on cross-border risks
- By: Megan Harman
- June 3, 2009 June 3, 2009
- 15:09
BCSC panel sets aside IIROC decision to permanently ban Rahmani
The British Columbia Securities Commission has set aside a permanent ban that the Investment Industry Regulatory Organization of Canada (IIROC) imposed on a former registrant…
- By: IE Staff
- June 3, 2009 June 3, 2009
- 09:15
OSC to consider IFB’s request to review MFDA advisor rule
Hearing scheduled for June 5
- By: IE Staff
- June 1, 2009 June 1, 2009
- 15:20
UK regulator proposes to extend short selling disclosure regime
The UK’s Financial Services Authority is proposing to extend its short selling disclosure obligations for the foreseeable future.Last year the UK joined with other countries,…
- By: James Langton
- June 1, 2009 June 1, 2009
- 15:10
BMO Nesbitt Burns fined for risk adjusted capital deficiency
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) accepted a settlement agreement between IIROC staff and BMO Nesbitt Burns Inc.The investment…
- By: IE Staff
- May 31, 2009 May 31, 2009
- 13:43
Revised OSC fee rules take effect June 1
Ontario’s finance minister has approved the latest amendments to the Ontario Securities Commission’s fee model. The latest version was approved by the minister on May…
- By: IE Staff
- May 31, 2009 May 31, 2009
- 11:05
Smith to leave New Brunswick Securities Commission
CEO’s five-year term coming to an end
- By: IE Staff
- May 29, 2009 May 29, 2009
- 10:35
SEC, FINRA sue Brookstreet brokers for fraud
U.S. securities regulators have charged several brokers with fraud for selling collateralized mortgage obligations (CMOs) as securities suitable for risk-averse investors.The U.S. Securities and Exchange…
- By: James Langton
- May 29, 2009 May 29, 2009
- 05:45
Majority of banks and insurers are ready for IFRS: OSFI
Regulator contacting institutions with gaps in plans
- By: James Langton
- May 28, 2009 May 28, 2009
- 14:06
Ontario to introduce cap-and-trade plan
Proposed legislation would set up a greenhouse gas emissions trading system
- By: James Langton
- May 28, 2009 May 28, 2009
- 07:35
Quebec unveils measures to improve Caisse accountability
Pension fund ordered to appear before public finance commission
- By: James Langton
- May 27, 2009 May 27, 2009
- 12:35
NBSC fines Assante for failing to locally supervise sales staff
Expired exemption discovered during compliance review
- By: IE Staff
- May 27, 2009 May 27, 2009
- 08:31
Regulators must address gaps that exposed investors to systemic risk, says IIROC head
Wolburgh Jenah calls on industry to rebuild the public trust
- By: Megan Harman
- May 26, 2009 May 26, 2009
- 14:27
IIROC unveils whistleblower service
Service will ensure that individuals deal directly with IIROC senior staff
- By: Megan Harman
- May 25, 2009 May 25, 2009
- 12:17
IIROC rule change would discourage abusive trading in U.S. OTC securities
Exemption provided for ADRs
- By: IE Staff
- May 24, 2009 May 24, 2009
- 15:30
SEC employees face tighter restrictions on stock trading
The U.S. Securities and Exchange Commission announced Friday that it is taking steps to guard against inappropriate trading by its employees.New internal rules governing securities…
- By: James Langton
- May 24, 2009 May 24, 2009
- 13:26
SEC to introduce rule to empower shareholders
Propose amendments would facilitate rights of shareholders to nominate directors
- By: James Langton
- May 22, 2009 May 22, 2009
- 08:10
DFS Investments fined $75,000 over London branch manager
Desjardins Financial Security Investments Inc. is facing a fine of $75,000 for failing to ensure a branch manager was fulfilling his role at one of…
- By: Megan Harman
- May 21, 2009 May 21, 2009
- 16:53
Flaherty unveils changes to credit card rules
Proposed regulations would make credit card information more transparent
- By: IE Staff
- May 21, 2009 May 21, 2009
- 10:30
New Brunswick salesperson banned from capital markets for 10 years
Adams sold securities to non-accredited investors
- By: IE Staff
- May 21, 2009 May 21, 2009
- 10:02
OSC continues freeze order against Nest Acquisitions and Mergers
Investigation ongoing, regulator says
- By: IE Staff
- May 20, 2009 May 20, 2009
- 15:56
Hallett: two steps for better fund industry regulation
- By: Dan Hallett
- May 20, 2009 December 15, 2017
- 15:36