IOSCO reports progress on code of conduct for credit rating agencies
Three largest CRAs have substantially implemented changes to code
- By: James Langton
- March 13, 2009 March 13, 2009
- 07:40
Latest news in From the Regulators
Financial Stability Forum to broaden its membership
The Financial Stability Forum announced that it has decided to expand its membership to include all the members of the G20.
- By: James Langton
- March 13, 2009 March 13, 2009
- 07:35
Investors warned of CRA phishing scam
Toronto Police have issued a warning about fraudsters pretending to represent the Canada Revenue Agency to seek personal information.
- By: James Langton
- March 12, 2009 March 12, 2009
- 16:15
OSC to appoint receiver for Sextant
Hearing scheduled for April 30
- By: IE Staff
- March 12, 2009 March 12, 2009
- 13:50
ASC launches new resources to help investors avoid fraud
As part of Fraud Awareness Month, the Alberta Securities Commission (ASC) has launched a number of new online resources to help investors avoid investment fraud…
- By: IE Staff
- March 12, 2009 March 12, 2009
- 12:55
BCSC helps investors recoup funds from Ponzi scheme
Wellspring and Springpay bilked investors out of $570,000
- By: IE Staff
- March 12, 2009 March 12, 2009
- 12:00
Basel Committee won’t increase bank ratios in crisis
Strengthening capital framework will lay foundation for more resilient banking system
- By: James Langton
- March 12, 2009 March 12, 2009
- 09:25
SEC fines Merrill Lynch US$7 million over squawk-box violations
The U.S. Securities and Exchange Commission has settled charges against Merrill Lynch, Pierce, Fenner & Smith Inc. over allegations that it let traders at other…
- By: James Langton
- March 11, 2009 March 11, 2009
- 10:20
Canada’s proactive approach to financial stability will limit risk, IMF says
Consolidating securities regulation would further strengthen stability framework
- By: IE Staff
- March 11, 2009 March 11, 2009
- 09:10
IIROC suspends Credifinance Securities membership
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has suspended the membership of Credifinance Securities Ltd., following following an expedited hearing…
- By: IE Staff
- March 10, 2009 March 10, 2009
- 15:30
OSFI issues guidance on capital treatment of reverse mortgages
The Office of the Superintendent of Financial Institutions is issuing a draft advisory that sets out its view on the capital treatment of reverse mortgages.OSFI…
- By: James Langton
- March 10, 2009 March 10, 2009
- 15:10
Recovery out of reach until financial stability restored, Bernanke says
New policies needed to limit the incidence and impact of systemic risk
- By: James Langton
- March 10, 2009 March 10, 2009
- 11:03
Economic downturn will hit bank profits, OSFI head says
Banks told to incorporate adverse outcomes in their planning
- By: James Langton
- March 10, 2009 March 10, 2009
- 10:45
ASC extends cease trade order against Money Solutions
The Alberta Securities Commission (ASC) has extended an interim cease trade order against Lethbridge businessman Robert Michael Smylski and Smylski Consulting Services Ltd., which operates…
- By: IE Staff
- March 9, 2009 March 9, 2009
- 16:10
Review confirms effectiveness of auction-based settlement mechanism for credit default swaps
Senior supervisors group issues report on management of recent CDS credit events
- By: James Langton
- March 9, 2009 March 9, 2009
- 14:55
FINRA seeks major expansion of bond transparency reporting
Proposal would bring transparency to primary market, government agency and GSE debt
- By: James Langton
- March 9, 2009 March 9, 2009
- 14:25
Prodigy CEO fined for misleading employees and clients about absence
Ability to carry out administrative responsibilities impaired by consumption of prescribed medication
- By: IE Staff
- March 9, 2009 March 9, 2009
- 10:10
IIROC strategic plan outlines five goals
Move to a more principles-based approach to regulation is desirable
- By: James Langton
- March 8, 2009 March 8, 2009
- 15:40
New OSC hearing rules take effect in April
Rules intended to improve the accessibility and transparency of commission proceedings
- By: James Langton
- March 8, 2009 March 8, 2009
- 15:10
FINRA launches “Office of the Whistleblower”
Dedicated team to handle high-risk tips
- By: James Langton
- March 8, 2009 March 8, 2009
- 14:40
SEC revamping process for reviewing whistleblower complaints
Review follows in wake of Madoff scandal
- By: James Langton
- March 5, 2009 March 5, 2009
- 12:10
IOSCO publishes recommendations to enhance commodity futures markets oversight
The international umbrella group for securities regulators has published its recommendations for improving oversight of commodity futures markets, the International Organization of Securities Commissions said…
- By: James Walker
- March 5, 2009 March 5, 2009
- 10:12
SEC charges 14 specialist firms for improper proprietary trading
Firms agree to pay nearly US$70 million
- By: James Langton
- March 4, 2009 March 4, 2009
- 16:35
Montreal rep fined for money laundering
A hearing panel of the Investment Industry Regulatory Organization of Canada (IIROC) has accepted a settlement agreement entered into between IIROC staff and Montreal broker…
- By: IE Staff
- March 4, 2009 March 4, 2009
- 15:20
OSC issues investor warning on Parklane companies
Firms not registered to sell securities in Ontario
- By: IE Staff
- March 4, 2009 March 4, 2009
- 10:15