Fund companies get two more years to distribute market-timing settlement funds
OSC sets 2011 as “final” deadline
- By: Megan Harman
- July 27, 2009 July 27, 2009
- 10:50
Latest news in From the Regulators
New York Fed creates investor advisory committee
The Federal Reserve Bank of New York Friday announced the establishment of a investor advisory committee to facilitate policy discussions.The NY Fed’s Investor Advisory Committee…
- By: James Langton
- July 26, 2009 July 26, 2009
- 15:45
Number of continuous disclosure reviews up 28% in 2009
Number of continuous disclosure reviews up 28% in 2009
- By: IE Staff
- July 26, 2009 July 26, 2009
- 10:30
UK regulator fines HSBC firms for information security failings
Firms lost unencrypted disks containing clients’ private information
- By: James Langton
- July 22, 2009 July 22, 2009
- 07:55
SEC charges TD Ameritrade for auction rate securities sales practices
Settlement enables ARS customers to receive all of their money back
- By: James Langton
- July 20, 2009 July 20, 2009
- 12:39
Hedge fund manager placed in receivership
Court endorses PwC as manager of Sextant funds
- By: IE Staff
- July 20, 2009 July 20, 2009
- 08:06
IIROC approves amendments to implement the CSA’s registration reform
Changes give members greater flexibility in designing their compliance systems
- By: James Langton
- July 19, 2009 July 19, 2009
- 13:00
Final rules implementing new national registration regime published: CSA
Rules come into force on Sept. 28
- By: James Langton
- July 19, 2009 July 19, 2009
- 11:02
U.S. Treasury introduces draft say on pay legislation
The U.S. Treasury Thursday introduced draft legislation requiring say on pay votes at public companies, and increased independence for firms' compensation committees.
- By: James Langton
- July 16, 2009 July 16, 2009
- 15:40
SEC charges 11 for insider trading ahead of merger announcements
The U.S. Securities and Exchange Commission has charged 11 individuals who it alleges were involved in separate insider trading schemes ahead of corporate merger announcements,…
- By: James Langton
- July 15, 2009 July 15, 2009
- 15:53
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
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