OSC upholds decision of IDA hearing panel regarding Kasman and Anderson
Panel decision based on appropriate principles, OSC says
- By: IE Staff
- July 15, 2009 July 15, 2009
- 15:10
Latest news in From the Regulators
Winnipeg rep banned for sharing a financial interest in an account with a client
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…
- By: IE Staff
- July 14, 2009 July 14, 2009
- 15:32
IIROC staff recommend all dealers adopt IFRS
Regulator seeks comment on survey results
- By: James Langton
- July 14, 2009 July 14, 2009
- 14:20
Blackmont trading officer fined $350,000 by IIROC
OSC to review decision
- By: Megan Harman
- July 14, 2009 July 14, 2009
- 14:15
SEC names Crawford to oversee diversity initiatives
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…
- By: IE Staff
- July 13, 2009 July 13, 2009
- 15:10
IOSCO publishes exchange outsourcing guidelines
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…
- By: James Langton
- July 13, 2009 July 13, 2009
- 14:49
Basel Committee announces capital framework enhancements
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…
- By: James Langton
- July 13, 2009 July 13, 2009
- 11:15
AMF freezes assets of Montreal advisor
$50 million diverted in a kind of Ponzi scheme, regulator says
- By: IE Staff
- July 13, 2009 July 13, 2009
- 06:50
B.C. appeal court declares section of securities legislation invalid
But the court has delayed the order for a year to give B.C.’s legislature time to deal with the matter
- By: James Langton
- July 12, 2009 July 12, 2009
- 15:23
CSA: Firms will have to be in compliance with IFRS by 2011
Investment counsel and portfolio managers, limited market dealers and exchange contracts dealers are among those who will be required to use IFRS
- By: James Langton
- July 12, 2009 July 12, 2009
- 10:19
MFDA withdraws proposed amendments
Member confusion has led the MFDA to rescind some amendments to rules concerning businesses names and borrowing for securities purchases
- By: IE Staff
- July 12, 2009 July 12, 2009
- 08:40
FSA to require firms to publish complaints data
The British regulator’s new rules are designed to allow consumers to see how firms are handling their complaints
- By: James Langton
- July 9, 2009 July 9, 2009
- 15:18
OSC vice chairman to join Canadian Securities Transition Office
Lawrence Ritchie assumes role of executive vice president and senior policy advisor
- By: Megan Harman
- July 9, 2009 July 9, 2009
- 12:35
Quebec to take feds to court over national regulator
The province views the federal government’s decision to create a Canadian securities commission as an “encroachment” on its jurisdiction
- By: James Langton
- July 8, 2009 July 8, 2009
- 15:37
OSC sees significant increase in adjudicative activity
The regulator is working to enhance the adjudicative case-management process to increase responsiveness and efficiency
- By: Megan Harman
- July 7, 2009 July 7, 2009
- 10:43
Britain’s FSA proposes to increase fines
Under the new proposals, fines would be linked more closely to the income from the product or business area linked to a breach
- By: James Langton
- July 6, 2009 July 6, 2009
- 15:48
Passage of Ontario budget bill brings changes to securities legislation
OSC granted authority to take immediate action in extraordinary circumstances
- By: James Langton
- July 5, 2009 July 5, 2009
- 14:40
FSA announces restructuring
Changes will provide greater clarity, CEO says
- By: James Langton
- July 2, 2009 July 2, 2009
- 15:47
Alberta seeks input on insurance proposals
Consultation paper outlines proposed changes
- By: James Langton
- July 2, 2009 July 2, 2009
- 15:35
CTIC, CITCAP declare bankruptcy: NBSC
Investors urged to seek professional advice
- By: IE Staff
- July 2, 2009 July 2, 2009
- 11:23
Canadian securities regulators launch online fee guide
Guide identifies filing fees in all Canadian jurisdictions
- By: IE Staff
- July 2, 2009 July 2, 2009
- 10:40
SEC measures aimed at boosting corporate governance, investor confidence
Proposals would give shareholders say on TARP pay
- By: James Langton
- July 2, 2009 July 2, 2009
- 09:50
Banks can promote insurance products on websites: OSFI
Bank website is not a branch, regulator says
- By: James Langton
- July 1, 2009 July 1, 2009
- 15:38
Ex-IPC rep fined $10,000: IIROC
Igra failed to ensure clients qualified as accredited investors
- By: IE Staff
- June 30, 2009 June 30, 2009
- 13:36
CCIR releases proposed framework for seg fund point-of-sale disclosure
Insurance regulators take “access equals delivery” approach
- By: James Langton
- June 29, 2009 June 29, 2009
- 15:29