Fed to expand Term Asset-Backed Securities Loan Facility
Proposed expansion could increase TALF to as much as US$1 trillion
- By: James Langton
- February 10, 2009 February 10, 2009
- 12:35
Latest news in From the Regulators
Madoff consents to partial settlement with SEC
Judgment imposes permanent injunction
- By: IE Staff
- February 10, 2009 February 10, 2009
- 09:50
ASC issues trading bans against Momentas Corp. and directors
The Alberta Securities Commission (ASC) has issued trading bans against Ontario-based Momentas Corp., its de facto officers and directors Howard Rash and Alexander Funt, its…
- By: IE Staff
- February 9, 2009 February 9, 2009
- 15:55
Bank deleveraging creates a challenge for consumers and regulators: FSA
Rules on capital adequacy need to be revised, report says
- By: James Langton
- February 9, 2009 February 9, 2009
- 12:10
Ontario to modernize credit union sector
Province seeks input on draft regulations
- By: Megan Harman
- February 8, 2009 February 8, 2009
- 15:35
FSA proposes enhanced transparency requirements on short selling
Disclosure requirements for significant short positions should be introduced, UK regulator says
- By: James Walker
- February 6, 2009 February 6, 2009
- 10:50
Seven charged in insider trading ring
Scam generated over US$11.6 million in illegal profits, SEC alleges
- By: James Langton
- February 5, 2009 February 5, 2009
- 16:45
OSC panel approves multimillion-dollar RIM settlement
Company co-founders fined
- By: IE Staff
- February 5, 2009 February 5, 2009
- 15:40
Short-selling ban increased market volatility: IIROC report
Abusive short selling not a problem in Canadian marketplace
- By: Megan Harman
- February 4, 2009 February 4, 2009
- 17:40
Suitability complaints dominate OBSI investment file
Complaint numbers up as consumer awareness grows
- By: Megan Harman
- February 4, 2009 February 4, 2009
- 16:15
OSFI stress testing individual business lines more frequently
Supervisory framework should reflect lessons from global turmoil
- By: James Langton
- February 4, 2009 February 4, 2009
- 15:20
OSC to settle with RIM officers over stock options dating
Hearing scheduled for Feb. 5
- By: IE Staff
- February 4, 2009 February 4, 2009
- 10:10
IIROC seeks candidates to serve on industry boards
Regulator undertaking new selection process in approving nominations to the boards fo CDS, FundSERV, and OBSI
- By: James Langton
- February 4, 2009 February 4, 2009
- 08:15
MFDA approves settlement with Lamarche
Interglobe branch manager fined $40,000
- By: IE Staff
- February 3, 2009 February 3, 2009
- 16:10
BCSC makes reciprocal orders against 10 individuals
British Columbia Securities Commission panels have made reciprocal enforcement orders against 10 individuals sanctioned by securities commissions in Alberta, Ontario and New Brunswick.They are Jose…
- By: IE Staff
- February 3, 2009 February 3, 2009
- 14:28
Fed extends special liquidity programs
Temporary reciprocal currency arrangements between the Fed and other central banks also extended
- By: James Langton
- February 3, 2009 February 3, 2009
- 10:50
Quebec to review “aggressive tax planning”
Finance minister releases consultation paper
- By: James Langton
- February 1, 2009 February 1, 2009
- 16:40
IIROC bans former Union Securities rep
Morrison fined for failing to give information to investigation
- By: IE Staff
- February 1, 2009 February 1, 2009
- 15:10
BCSC settles with the CEO and a former director of Canadian Rockport Homes
Pair admits Rockport made unreasonable financial projections in its offering documents
- By: IE Staff
- February 1, 2009 February 1, 2009
- 14:10
NASAA unveils pro-investor legislative agenda
Top priority is to protect investors
- By: James Langton
- January 30, 2009 January 30, 2009
- 11:45
Landen gets jail sentence and fine for illegal insider trading
Judge orders former Agnico-Eagle officer to pay $200,000
- By: IE Staff
- January 29, 2009 January 29, 2009
- 16:35
CSA enforcement actions double in 2008: report
Rise in appeals signals securities law is becoming more litigious
- By: Megan Harman
- January 29, 2009 January 29, 2009
- 15:40
Morgan Wilshire ordered to cease operations
IIROC panel terminates company’s membership
- By: IE Staff
- January 28, 2009 January 28, 2009
- 17:26
IIROC panel reduces fines against former Golden Capital CFO
An appeal panel of the Investment Industry Regulatory Organization of Canada has reduced fines against a Vancouver-based CFO who argued the penalty against him was…
- By: Megan Harman
- January 28, 2009 January 28, 2009
- 16:13
MFDA begins new round of sales compliance exams
Bulletin outlines common deficiencies and provides guidance on best practices
- By: James Langton
- January 28, 2009 January 28, 2009
- 15:45