Edmonton rep fined for forging client signatures
Lamontagne handed six-month suspension by IIROC panel
- By: IE Staff
- May 12, 2009 May 12, 2009
- 14:40
Latest news in From the Regulators
Regulators must keep expectations realistic in wake of financial crisis
Dickson ponders whether it is possible to overcome human nature and the strong influence of incentives
- By: IE Staff
- May 12, 2009 May 12, 2009
- 13:55
The common sense approach to deciphering a tax statute
The Supreme Court rules that UPS was entitled to set-off overpayments of GST, rather than using an application process demanded by CRA
- By: Patricia Chisholm
- May 12, 2009 May 12, 2009
- 11:32
CRA revokes the charitable status of Toronto charity
CRA revokes the charitable status of Toronto charity
- By: IE Staff
- May 11, 2009 May 11, 2009
- 15:30
Court clears ASC to gather evidence from third party tax advisors
Regulator asked KPMG to disclose documents relating relating to work for Merendon Mining
- By: James Langton
- May 11, 2009 May 11, 2009
- 14:40
New York Fed CEO named CPSS chairman
William Dudley has been appointed as chairman of the Committee on Payment and Settlement Systems (CPSS), the Bank Bank for International Settlements said Monday.His appointment…
- By: IE Staff
- May 11, 2009 May 11, 2009
- 14:35
Corporate governance crucial in financial crisis clean-up, Dickson says
Boards need to increase their involvement in setting risk appetite, overseeing management and compensation
- By: James Langton
- May 10, 2009 May 10, 2009
- 12:50
BDC rolls out Canadian Secured Credit Facility
Measure will help stimulate Canada’s manufacturing sector, Clement says
- By: IE Staff
- May 8, 2009 May 8, 2009
- 13:45
FINRA announces agreements with four more firms to settle Auction Rate Securities violations
Settlements include total fines of US$850,000
- By: James Langton
- May 7, 2009 May 7, 2009
- 15:20
U.S. Government Accountability Office calls for changes to the SEC
Among other things, the GAO recommends that SEC’s new office of collections and distributions adopt a new structure
- By: James Langton
- May 6, 2009 May 6, 2009
- 14:12
Don’t cut costs at expense of anti-money laundering efforts: OSFI
Senior director says it’s vital to take all the steps necessary to deter criminal elements
- By: James Langton
- May 6, 2009 May 6, 2009
- 13:16
SEC charges operators of Reserve Primary Fund With fraud
Company reviewing regulator's complaint
- By: James Langton
- May 5, 2009 May 5, 2009
- 16:50
IOSCO publishes interim recommendations on unregulated financial markets and products
The International Organization of Securities Commissions’ policymaking body has published its’ interim recommendations for regulatory changes designed to deal with unregulated financial markets and products.On…
- By: James Langton
- May 5, 2009 May 5, 2009
- 16:15
Nova Scotia regulator spells out priorities
The Nova Scotia Securities Commission has published its business plan for the coming year, highlighting its commitment to the passport system.In the plan, the commission…
- By: James Langton
- May 5, 2009 May 5, 2009
- 15:45
OSC outlines priorities for 2009-2010
Regulatory fees to hold at current rates for one year
- By: IE Staff
- May 5, 2009 May 5, 2009
- 07:30
AMF issues cease trade order against Toronto fund manager
Regulator moves to preempt spread of alleged Ponzi scheme to Quebec
- By: James Langton
- May 4, 2009 May 4, 2009
- 15:35
IIROC proposes to streamline methodology for margining equity securities
The Investment Industry Regulatory Organization of Canada is proposing amendments to its rules that are designed to simplify a new methodology for margining equity securities.The…
- By: James Langton
- May 3, 2009 May 3, 2009
- 15:56
SEC charges former Citigroup investment banker in insider trading scheme
The U.S. Securities and Exchange Commission has a former Citigroup investment banker for allegedly tipping his brother about upcoming merger deals, the SEC said Thursday.The…
- By: James Langton
- April 30, 2009 April 30, 2009
- 16:10
SEC rolls out new program to identify and assess risks in financial markets
The U.S. Securities and Exchange Commission on Thursday announced a new effort to identify and assess risks in the financial markets by recruiting financial industry…
- By: James Langton
- April 30, 2009 April 30, 2009
- 13:20
Farm Mutual fined over $2.5 million for sale of inappropriate securities
MFDA terminates membership of bankrupt firm
- By: Megan Harman
- April 30, 2009 April 30, 2009
- 11:10
EU framework for managers of alternative investment funds proposed
The European Commission has proposed a new regulatory framework for alternative investment managers.The so-called Directive on Alternative Investment Fund Managers “aims to create a comprehensive…
- By: James Langton
- April 29, 2009 April 29, 2009
- 15:55
ASC settles insider trading allegations with CV Technologies communications officer
Alberta Securities Commission (ASC) has concluded a settlement with Gary Michaels, vp of communications CV Technologies Inc., regarding allegations of illegal insider trading of CV…
- By: IE Staff
- April 28, 2009 April 28, 2009
- 11:15
FINRA mulls permanent disclosure of disciplinary histories of former brokers
The U.S. Financial Industry Regulatory Authority is proposing to expand its broker database to make the records of final regulatory actions against brokers permanently available…
- By: James Langton
- April 27, 2009 April 27, 2009
- 16:10
ASC settles with Calgary oil and gas research analyst
Theal pays $30,000 to settle disclosure breach
- By: IE Staff
- April 27, 2009 April 27, 2009
- 15:10
Golden Capital to appeal BCSC decision
Golden Capital Securities Ltd. intends to seek leave to appeal a British Columbia Securities Commission panel decision to uphold disciplinary action taken by the Investment…
- By: IE Staff
- April 27, 2009 April 27, 2009
- 14:50