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
Latest news in From the Regulators
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
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
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