Review confirms effectiveness of auction-based settlement mechanism for credit default swaps
Senior supervisors group issues report on management of recent CDS credit events
- By: James Langton
- March 9, 2009 March 9, 2009
- 14:55
Latest news in From the Regulators
FINRA seeks major expansion of bond transparency reporting
Proposal would bring transparency to primary market, government agency and GSE debt
- By: James Langton
- March 9, 2009 March 9, 2009
- 14:25
Prodigy CEO fined for misleading employees and clients about absence
Ability to carry out administrative responsibilities impaired by consumption of prescribed medication
- By: IE Staff
- March 9, 2009 March 9, 2009
- 10:10
IIROC strategic plan outlines five goals
Move to a more principles-based approach to regulation is desirable
- By: James Langton
- March 8, 2009 March 8, 2009
- 15:40
New OSC hearing rules take effect in April
Rules intended to improve the accessibility and transparency of commission proceedings
- By: James Langton
- March 8, 2009 March 8, 2009
- 15:10
FINRA launches “Office of the Whistleblower”
Dedicated team to handle high-risk tips
- By: James Langton
- March 8, 2009 March 8, 2009
- 14:40
SEC revamping process for reviewing whistleblower complaints
Review follows in wake of Madoff scandal
- By: James Langton
- March 5, 2009 March 5, 2009
- 12:10
IOSCO publishes recommendations to enhance commodity futures markets oversight
The international umbrella group for securities regulators has published its recommendations for improving oversight of commodity futures markets, the International Organization of Securities Commissions said…
- By: James Walker
- March 5, 2009 March 5, 2009
- 10:12
SEC charges 14 specialist firms for improper proprietary trading
Firms agree to pay nearly US$70 million
- By: James Langton
- March 4, 2009 March 4, 2009
- 16:35
Montreal rep fined for money laundering
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement entered into between IIROC staff and Montreal broker…
- By: IE Staff
- March 4, 2009 March 4, 2009
- 15:20
OSC issues investor warning on Parklane companies
Firms not registered to sell securities in Ontario
- By: IE Staff
- March 4, 2009 March 4, 2009
- 10:15
New U.K. contracts for difference disclosure regime to take effect in June
The UK’s Financial Services will adopt a new disclosure regime for Contracts for Difference, the FSA said Tuesday.The new rules, which will take effect June…
- By: James Langton
- March 3, 2009 March 3, 2009
- 11:10
U.S. Fed, Treasury launch US$200 billion Term Asset-Backed Securities Loan Facility
TALF to provide financing to investors to support their purchases of certain AAA-rated asset-backed securities
- By: James Langton
- March 3, 2009 March 3, 2009
- 10:57
SIPC to reinstitute assessments of member firms’ operating revenues
The U.S. Securities Investor Protection Corp. announced that it will move from charging flat fees to revenue-based assessments, starting next month.The SIPC, which maintains a…
- By: James Langton
- March 2, 2009 March 2, 2009
- 17:10
SEC warns investors and financial firms of government impersonators
The U.S. Securities and Exchange Commission is warning investors and financial services firms about con-artists who may use the names of actual SEC employees to…
- By: James Langton
- March 2, 2009 March 2, 2009
- 17:05
IIROC defers implementation of reporting of extended failed trades
The Investment Industry Regulatory Organization of Canada says that the implementation of trading rule amendments requiring the reporting of certain failed trades is being deferred.…
- By: James Langton
- March 1, 2009 March 1, 2009
- 17:45
Appeal court upholds ASC sanction against Edmonton man
The Alberta Court of Appeal has upheld an Alberta Securities Commission (ASC) decision against Edmonton businessman Lambert “Bert” Lavallee relating to illegal trades and illegal…
- By: IE Staff
- February 26, 2009 February 26, 2009
- 12:10
FSA lays out framework for executive compensation policies
The UK’s Financial Services Authority has published a proposed code of practice concerning the pay policies of financial firms.The draft code aims to “ensure that…
- By: James Langton
- February 26, 2009 February 26, 2009
- 10:12
Strategic Energy Partners banned from New Brunswick capital markets
An investigation has resulted in a New Brunswick Securities Commission (NBSC) hearing panel ordering that Strategic Energy Partners and Jim Palmer be banned from trading…
- By: IE Staff
- February 25, 2009 February 25, 2009
- 17:50
SEC sanctions RBC Capital Markets
Firm to pay $125,000 civil penalty for violating fair dealing, gifts and gratuities and supervisory rules
- By: James Langton
- February 24, 2009 February 24, 2009
- 17:04
IOSCO committee publishes report on DEA principles
The report identifies three areas in which IOSCO is proposing principles to address the issues raised by the growth of DEA
- By: James Langton
- February 24, 2009 February 24, 2009
- 11:46
Ketchum to replace Schapiro as FINRA CEO
Current head of New York Stock Exchange Regulation will retain post as FINRA chairman as well
- By: James Langton
- February 24, 2009 February 24, 2009
- 10:58
IOSCO aims to establish principles for supervision of outsourcing
Report that sets principles is sent out for public comment; deadline is May 20
- By: James Langton
- February 23, 2009 February 23, 2009
- 17:22
OSFI amends order on troubled Antigua-based bank
The regulator’s representative office will remain open in Canada to assist clients recover troubled assets
- By: James Langton
- February 23, 2009 February 23, 2009
- 16:46
OSC steps up regulatory efforts
Ontario’s securities regulator is more closely monitoring continuous disclosure filings, among other measures
- By: James Langton
- February 23, 2009 February 23, 2009
- 15:57