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
Latest news in From the Regulators
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
Britain’s FSA proposes to increase fines
Under the new proposals, fines would be linked more closely to the income from the product or business area linked to a breach
- By: James Langton
- July 6, 2009 July 6, 2009
- 15:48
Passage of Ontario budget bill brings changes to securities legislation
OSC granted authority to take immediate action in extraordinary circumstances
- By: James Langton
- July 5, 2009 July 5, 2009
- 14:40
FSA announces restructuring
Changes will provide greater clarity, CEO says
- By: James Langton
- July 2, 2009 July 2, 2009
- 15:47
Alberta seeks input on insurance proposals
Consultation paper outlines proposed changes
- By: James Langton
- July 2, 2009 July 2, 2009
- 15:35
CTIC, CITCAP declare bankruptcy: NBSC
Investors urged to seek professional advice
- By: IE Staff
- July 2, 2009 July 2, 2009
- 11:23
Canadian securities regulators launch online fee guide
Guide identifies filing fees in all Canadian jurisdictions
- By: IE Staff
- July 2, 2009 July 2, 2009
- 10:40
SEC measures aimed at boosting corporate governance, investor confidence
Proposals would give shareholders say on TARP pay
- By: James Langton
- July 2, 2009 July 2, 2009
- 09:50
Banks can promote insurance products on websites: OSFI
Bank website is not a branch, regulator says
- By: James Langton
- July 1, 2009 July 1, 2009
- 15:38
Ex-IPC rep fined $10,000: IIROC
Igra failed to ensure clients qualified as accredited investors
- By: IE Staff
- June 30, 2009 June 30, 2009
- 13:36
CCIR releases proposed framework for seg fund point-of-sale disclosure
Insurance regulators take “access equals delivery” approach
- By: James Langton
- June 29, 2009 June 29, 2009
- 15:29
BIS calls on industry and governments to work together to repair financial system
Regulators must focus on the stability of the system as a whole as well as individual institutions
- By: James Langton
- June 29, 2009 June 29, 2009
- 13:15
FSA’s Turner to head FSB supervisory committee
Inaugural meeting wraps up in Basel
- By: James Langton
- June 29, 2009 June 29, 2009
- 12:50
Madoff gets maximum 150 years for Ponzi scheme
SEC charges two advisors for conducting similar schemes
- By: Megan Harman
- June 29, 2009 June 29, 2009
- 11:43
FSCO eyes point-of-sale disclosure for seg funds
Ontario regulator releases latest statement of priorities
- By: James Langton
- June 29, 2009 June 29, 2009
- 11:10
OSFI proposes key principles for regulatory capital framework for P&C insurance
Implementation expected by 2014
- By: James Langton
- June 29, 2009 June 29, 2009
- 10:37
IOSCO seeks input on disclosure requirements for asset-backed securities
Consultation paper outlines proposed disclosure principles
- By: James Langton
- June 29, 2009 June 29, 2009
- 09:20
MFDA seeks input on governance issues
The Mutual Fund Dealers Association of Canada has issued a report on governance issues for comment.Earlier this year the MFDA published a bulletin concerning the…
- By: James Langton
- June 28, 2009 June 28, 2009
- 15:56
Strong support for Investor Secretariat, says OSC
Regulator releases final version of statement of priorities
- By: James Langton
- June 28, 2009 June 28, 2009
- 15:37