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
Latest news in From the Regulators
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
U.S. regulator ready for trading in carbon markets
The U.S. Commodity Futures Trading Commission is ready to regulate a US. carbon market, Bart Chilton, chair of the CFTC’s Energy and Environmental Markets Advisory…
- By: James Langton
- April 23, 2009 April 23, 2009
- 10:33
MFDA suspends Hill & Crawford, Albert Rodney Hill
Client accounts transferred to Altimum Mutuals
- By: IE Staff
- April 23, 2009 April 23, 2009
- 07:54
MFDA panel approves settlement with Keybase Financial and Sukhraj
Keybase fined $150,000; Sukhraj fined $50,000
- By: IE Staff
- April 23, 2009 April 23, 2009
- 07:30
OSFI issues advisory on seg fund methodology
New advisory clarifies alternative method to determine capital requirements
- By: James Langton
- April 21, 2009 April 21, 2009
- 16:15
U.S. court grants injunction against commodity pool operator and its Canadian principals
CFTC charged defendants in February with misappropriating more than US$4.6 million of customer funds
- By: James Langton
- April 21, 2009 April 21, 2009
- 11:21
Toronto rep faces penalty hearing
A hearing panel of the Investment Industry Regulatory Organization of Canada has found that Toronto rep had undisclosed financial dealings in accounts at another firm.From…
- By: IE Staff
- April 20, 2009 April 20, 2009
- 16:25
Regulators need to be able to stay the course, Dickson says
Independence of thought key to avoid getting caught up in ideological fashions
- By: James Langton
- April 20, 2009 April 20, 2009
- 14:54
MFDA seeks input on governance changes
Regulator mulls expansion of board to 15 members
- By: James Langton
- April 20, 2009 April 20, 2009
- 12:15
Quebec company admits to wrongdoing: NBSC
CTIC issued securities without complying with N.B. securities laws
- By: IE Staff
- April 20, 2009 April 20, 2009
- 08:48
Provincial regulators approve “best price” obligation rule change
Provincial regulators have approved trading rule amendments regarding the “best price” obligation, the Investment Industry Regulatory Organization of Canada said Friday.The amendments were implemented back…
- By: James Langton
- April 19, 2009 April 19, 2009
- 15:40
Dealer fined for allowing compliance officer to work from home
First Canada Capital Partners and the firm’s president fined $40,000
- By: IE Staff
- April 19, 2009 April 19, 2009
- 14:00
U.S. regulators gearing-up for climate change
The Commodity Futures Trading Commission is launching a new committee to address the challenges posed by carbon markets.The CFTC says that it is preparing for…
- By: James Langton
- April 17, 2009 April 17, 2009
- 16:14
IIROC to enhance transparency and fair pricing for OTC securities
Proposed rule mandates yield disclosure for fixed income securities
- By: IE Staff
- April 17, 2009 April 17, 2009
- 10:48
MFDA hands Penney two-year suspension
A hearing panel of the Atlantic Regional Council of the Mutual Fund Dealers Association of Canada has approved a settlement agreement between the MFDA and…
- By: IE Staff
- April 15, 2009 April 15, 2009
- 14:20
BCSC upholds IIROC decisions against Golden Capital
Penalty and costs called “reasonable and appropriate”
- By: IE Staff
- April 15, 2009 April 15, 2009
- 10:35
CSA announces winners of Financial Fitness Challenge
Website increases financial literacy among youth
- By: IE Staff
- April 14, 2009 April 14, 2009
- 11:10