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
Latest news in From the Regulators
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
Ex CEO of Southwestern Resources handed lifetime ban
The British Columbia Securities Commission has settled with John Gregory Paterson, the former president and CEO of Southwestern Resources Corp., who admitted to fraud and…
- By: IE Staff
- June 28, 2009 June 28, 2009
- 15:22
ASC cease trades of Sellars Financial Inc.
The Alberta Securities Commission has issued an interim cease trade order against Sellars Financial Inc., Robert John Sellars and Penny Jean Sellars.The order is based…
- By: IE Staff
- June 28, 2009 June 28, 2009
- 11:50
MFDA to extend legal protection to MFDA Investor Protection Corp.
IPC currently not covered
- By: IE Staff
- June 26, 2009 June 26, 2009
- 14:27
UK short selling disclosure regime extended: FSA
The Financial Services Authority has indefinitely extended its disclosure regime for significant net short positions in financial sector stocks, the U.K. regulator said Friday.The new…
- By: James Langton
- June 26, 2009 June 26, 2009
- 11:04
Quebec’s Complaint Reporting System to go nationwide: AMF
System will be accessible to the entire Canadian insurance industry
- By: James Langton
- June 25, 2009 June 25, 2009
- 15:40
UK regulator details retail investment reforms
Proposals aimed at enhancing the quality of advice investors receive
- By: James Langton
- June 25, 2009 June 25, 2009
- 13:33
Fed extends liquidity programs
Reciprocal currency arrangements between the Fed and other central banks have been extended to February 2010
- By: James Langton
- June 25, 2009 June 25, 2009
- 11:45