MFDA panel approves settlement with Keybase Financial and Sukhraj
Keybase fined $150,000; Sukhraj fined $50,000
- By: IE Staff
- April 23, 2009 April 23, 2009
- 07:30
Latest news in From the Regulators
OSFI issues advisory on seg fund methodology
New advisory clarifies alternative method to determine capital requirements
- By: James Langton
- April 21, 2009 April 21, 2009
- 16:15
U.S. court grants injunction against commodity pool operator and its Canadian principals
CFTC charged defendants in February with misappropriating more than US$4.6 million of customer funds
- By: James Langton
- April 21, 2009 April 21, 2009
- 11:21
Toronto rep faces penalty hearing
A hearing panel of the Investment Industry Regulatory Organization of Canada has found that Toronto rep had undisclosed financial dealings in accounts at another firm.From…
- By: IE Staff
- April 20, 2009 April 20, 2009
- 16:25
Regulators need to be able to stay the course, Dickson says
Independence of thought key to avoid getting caught up in ideological fashions
- By: James Langton
- April 20, 2009 April 20, 2009
- 14:54
MFDA seeks input on governance changes
Regulator mulls expansion of board to 15 members
- By: James Langton
- April 20, 2009 April 20, 2009
- 12:15
Quebec company admits to wrongdoing: NBSC
CTIC issued securities without complying with N.B. securities laws
- By: IE Staff
- April 20, 2009 April 20, 2009
- 08:48
Provincial regulators approve “best price” obligation rule change
Provincial regulators have approved trading rule amendments regarding the “best price” obligation, the Investment Industry Regulatory Organization of Canada said Friday.The amendments were implemented back…
- By: James Langton
- April 19, 2009 April 19, 2009
- 15:40
Dealer fined for allowing compliance officer to work from home
First Canada Capital Partners and the firm’s president fined $40,000
- By: IE Staff
- April 19, 2009 April 19, 2009
- 14:00
U.S. regulators gearing-up for climate change
The Commodity Futures Trading Commission is launching a new committee to address the challenges posed by carbon markets.The CFTC says that it is preparing for…
- By: James Langton
- April 17, 2009 April 17, 2009
- 16:14
IIROC to enhance transparency and fair pricing for OTC securities
Proposed rule mandates yield disclosure for fixed income securities
- By: IE Staff
- April 17, 2009 April 17, 2009
- 10:48
MFDA hands Penney two-year suspension
A hearing panel of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada has approved a settlement agreement between the MFDA and…
- By: IE Staff
- April 15, 2009 April 15, 2009
- 14:20
BCSC upholds IIROC decisions against Golden Capital
Penalty and costs called “reasonable and appropriate”
- By: IE Staff
- April 15, 2009 April 15, 2009
- 10:35
CSA announces winners of Financial Fitness Challenge
Website increases financial literacy among youth
- By: IE Staff
- April 14, 2009 April 14, 2009
- 11:10
Sharp economic decline may be slowing: Fed chief
Financial stability necessary for full recovery
- By: IE Staff
- April 14, 2009 April 14, 2009
- 09:15
FAIR Canada pleased with OSC plans for Investment Secretariat
Foundation will continue to press for the appointment of one commissioner with a retail investor perspective
- By: James Langton
- April 13, 2009 April 13, 2009
- 15:15
SEC seeks comment on short sale price test and circuit breaker restrictions
SEC seeks comments on short sale price test and circuit breaker restrictions
- By: James Langton
- April 8, 2009 April 8, 2009
- 15:20
Advisory Committee on Financing membership announced
Committee to ensure individuals and businesses have access to financing
- By: IE Staff
- April 8, 2009 April 8, 2009
- 14:00
OSC proposes Investor Secretariat to encourage investor input
Regulator continues to explore options to compensate investors more quickly
- By: James Langton
- April 7, 2009 April 7, 2009
- 13:10
No decision made on changes to Canada’s fair value accounting rules: AcSB
Board consulting with U.S. and international bodies before making its choice
- By: IE Staff
- April 7, 2009 April 7, 2009
- 12:35
Crisis in Scotland’s banking system may have been avoided with oversight closer to home, minister says
Lack of independence leaves government unable to do more to aid the economy
- By: Megan Harman
- April 6, 2009 April 6, 2009
- 14:55
SEC obtains asset freeze in alleged Ponzi scheme involving Toronto money manager
Scheme targeted Chinese-American community
- By: James Langton
- April 6, 2009 April 6, 2009
- 14:45
Central banks authorize swap arrangements
Agreements would allow Fed to provide foreign currency liquidity to U.S. banks
- By: James Langton
- April 6, 2009 April 6, 2009
- 09:57
Don’t sacrifice compliance: IIROC
Having an effective compliance program is the only way firms can meet their regulatory responsibilities, the SRO says
- By: James Langton
- April 5, 2009 April 5, 2009
- 15:49
Registration reform proposals to be finalized this summer
The CSA says reforms are expected to come into force at the end of September
- By: James Langton
- April 5, 2009 April 5, 2009
- 15:36