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
Latest news in From the Regulators
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
Financial crisis easing, Geithner says
Financial crisis easing, Geithner says
- By: James Langton
- May 20, 2009 May 20, 2009
- 11:35
Basel Committee issues stress-test guidelines
Stress testing should be fully integrated in banks’ governance frameworks
- By: James Langton
- May 20, 2009 May 20, 2009
- 11:19
OSFI issues fraud alert
Regulator cautions institutions over impersonation of OSFI employees
- By: James Langton
- May 19, 2009 May 19, 2009
- 15:54
Monitoring Group adopts formal charter
Group's mission is to promote high-quality international auditing standards for accountants
- By: IE Staff
- May 19, 2009 May 19, 2009
- 13:27
Risks of quantitative easing exaggerated, Murray says
Central banks will not forget to shut off the liquidity taps when additional stimulus is no longer required
- By: Megan Harman
- May 19, 2009 May 19, 2009
- 12:05
Business Credit Availability Program website launches
The federal government unveiled the Business Credit Availability Program (BCAP) website on Tuesday.“I would invite Canadian businesses who are looking for new credit solutions to…
- By: IE Staff
- May 19, 2009 May 19, 2009
- 10:58
Ex-Celestica employee to pay $1.1 million for illegal insider trading
OSC approves settlement with Thakur
- By: IE Staff
- May 18, 2009 May 18, 2009
- 15:55
Ex-Dundee Securities rep fined $220,000
IIROC bans Dass for misuse of client funds
- By: IE Staff
- May 18, 2009 May 18, 2009
- 13:58
Alberta court upholds ASC decision against Grossman
The Alberta Court of Appeal has upheld Alberta Securities Commission (ASC) decisions and sanctions against Toronto businessman Al Grossman and Maitland Capital Ltd. related to…
- By: IE Staff
- May 14, 2009 December 14, 2017
- 16:30
SEC to strengthen safeguards of investor funds controlled by investment advisors
The U.S. Securities and Exchange Commission is proposing rule amendments to beef up oversight of investment advisors that retain custody of client assets.The SEC is…
- By: James Langton
- May 14, 2009 May 14, 2009
- 16:10
Distinction between market risk and credit risk has been blurred: Basel
The Basel Committee on Banking Supervision has issued a working paper that examines the interaction of market risk and credit risk, a relationship that has…
- By: James Langton
- May 14, 2009 May 14, 2009
- 11:10
U.S. government releases OTC derivatives regulation proposals
The U.S. government has unveiled its plan to bring some regulatory oversight, and improved transparency, to the over-the-counter derivatives markets.The proposals published Wednesday would require…
- By: James Langton
- May 14, 2009 May 14, 2009
- 07:06
ASC settles with Petroleum Unlimited and Roger Kimmel
The Alberta Securities Commission (ASC) has concluded a settlement with Petroleum Unlimited, LLC, and Ohio-resident Roger A. Kimmel Jr. regarding allegations that they did not…
- By: IE Staff
- May 13, 2009 May 13, 2009
- 14:50
Ex-Secutor Capital rep fined $10,000
Jenset permitted a non-registrant to perform “know your client” obligations
- By: IE Staff
- May 13, 2009 May 13, 2009
- 14:25
IIROC review panel dismisses Credifinance request
A review panel of the Investment Regulatory Organization of Canada has dismissed the request for review by Credifinance Securities Ltd., IIROC said Tuesday.An IIROC hearing…
- By: IE Staff
- May 12, 2009 May 12, 2009
- 15:42