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
Latest news in From the Regulators
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
MFDA seeks comment on revised client relationship model
Changes meant minimize differences with IIROC CRM
- By: James Langton
- April 26, 2009 April 26, 2009
- 14:42
IIROC seeks input on proposed client relationship model
New rule meant to clarify IIROC’s position regarding the management of conflicts of interest
- By: James Langton
- April 26, 2009 April 26, 2009
- 14:10
IIROC proposes revision to the definition of “securities related activities”
Amendments designed to ensure definition specifically refers to all investment products
- By: James Langton
- April 26, 2009 April 26, 2009
- 13:37
Fed outlines stress test methodology for U.S. banks
Test results expected to be released in early May
- By: James Langton
- April 24, 2009 April 24, 2009
- 13:55
SEC roundtable to examine short sale price test and circuit breaker restrictions
The U.S. Securities and Exchange Commission will hold a roundtable on May 5 to discuss whether short sale price test restrictions or short sale circuit…
- By: James Langton
- April 24, 2009 April 24, 2009
- 11:15
BCSC panels reciprocate ASC and OSC enforcement orders
British Columbia Securities Commission panels have reciprocated enforcement orders against five individuals sanctioned by securities commissions in Alberta and Ontario.The Alberta Securities Commission imposed sanctions…
- By: IE Staff
- April 24, 2009 April 24, 2009
- 09:20
Saskatchewan advisor ordered to repay $1.2 million to clients
Link banned for life from trading in securities
- By: IE Staff
- April 23, 2009 April 23, 2009
- 13:45
Investors cautioned to get the facts before investing in real estate-based securities
Read the risk disclosure in the offering memorandum, regulators advise
- By: IE Staff
- April 23, 2009 April 23, 2009
- 13:30
Fredericton-based stock promoters ordered to pay $150,000 in penalties
Fredericton-based stock promoters ordered to pay $150,000 in penalties
- By: IE Staff
- April 23, 2009 April 23, 2009
- 10:45